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12 June 2023 – U.S. SEC Fines for Naked Short Selling Scheme

June 12, 2023 by Anna Monteiro in links

U.S. SEC Fines for Naked Short Selling Scheme

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26 May 2023 – Australia ASIC Fines for Failure to Report Major Shareholding

May 26, 2023 by Anna Monteiro in links

Australia ASIC Fines for Failure to Report Major Shareholding

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22 May 2023 – Australia ASIC Fines for Naked Short Selling

May 22, 2023 by Anna Monteiro in links

Australia ASIC Fines for Naked Short Selling

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18 May 2023 – Kuwait CMA Fines for Failure to Notify Change of Ownership

May 18, 2023 by Anna Monteiro in links

Kuwait CMA Fines for Failure to Notify Change of Ownership

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16 May 2023 – Sweden FI Fines for Substantial Shareholding Reporting Failure

May 16, 2023 by Anna Monteiro in links

Sweden FI Fines for Substantial Shareholding Reporting Failure/a>

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8 May 2023 – Norway FI Fines 6 for Illegal Short Selling

May 8, 2023 by Anna Monteiro in links

Norway FI Fines 6 Companies for Illegal Short Selling

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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES

  • 31 March 2020: HK SFC Fine China Rise Short Selling
  • 31 March 2020: Sweden FI Fines Tiger Global for Late Short Selling Report
  • 25 March 2020: HK SFC Magic Holdings Late Disclosure
  • 13 March 2020: Sweden FI Fines SEB Investment for Late Reporting of Transactions with Shares
  • 13 March 2020: Sweden FI Fines SEB Investment for Late Shareholding Disclosure
  • 13 March 2020: Sweden FI Fines Brushamn Invest for Late and Incorrect Transactions Reporting
  • 11 March 2020: Sweden FI Fines Nordic Health Consultants for Late and Incorrect Transactions Reporting
  • 10 March 2020: Sweden FI Fines For Late Transactions Reporting
  • 9 March 2020: Sweden FI Fines For Late and Incorrect Notification of Transactions
  • 9 March 2020: Sweden FI Fines Nordea for Late Shareholding Disclosure
  • 6 March 2020: Sweden FI Fines for Incorrect Notification
  • 6 March 2020: Sweden FI Fines for Errors in Transaction Reporting
  • 5 March 2020: Sweden FI Fines for Late Shareholding Dislosure
  • 4 March 2020: Sweden FI Fines for Errors in Shares Acquistion Notification
  • 4 March 2020: Sweden FI Fines for Errors in Holdings Disclosure
  • 17 February 2020: Sweden FI Fines Insurance Co for Late Reporting of Bonds
  • 13 February 2020: Australia ASIC Fines for Misleading Shareholding Disclosure
  • 28 January 2020: Sweden FI Fines for Late Transaction Reporting with Warrants
  • 28 January 2020: Sweden FI Fines for Late Substantial Shareholding Disclosure
  • 24 January 2020: Sweden FI Fines Natural Person for Late Transactions Report
  • 23 January 2020: Sweden FI Fines for Incorrect Reporting
  • 17 January 2020: Singapore MAS Fines for Substantial Shareholding
  • 14 January 2020: Sweden FI Insider of Tobin Properties for Late Holdings Reportinge
  • 14 January 2020: Sweden FI Fines SEK2.6m for Late Shareholding Disclosure
  • 14 January 2020: Sweden FI Fines for Late Notification
  • 13 January 2020: NYMEX Fine GMO in Position Limit Violation
  • 10 January 2020: Sweden FI Fines TTC Invest For Late Shareholding Disclosure
  • 10 January 2020: Sweden FI Fines Insider for Late Notification
  • 12 August 2019: Germany BaFin Fines Goldman €800k for Voting Rights.
  • 18 June 2019: SEC Wedbush Mishandling ADRs
  • 31 January 2019: U.S. MYMEX Fines Credit Suisse for Position Limit Breach
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