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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

  • 11 November 2020: Germany BaFin Fines for Late Reporting Shareholding
  • 4 November 2020: Sweden FI Fines for Late Reporting Shareholding
  • 27 October 2020: Sweden FI Fines for Late Shareholding Disclosure
  • 19 October 2020: Sweden FI Fines for Late Short Selling Reporting
  • 16 October 2020: Sweden FI Fines for Late Shareholding Disclosure Reporting
  • 15 October 2020: Hong Kong SFC Censures for Breach of Takeovers Code
  • 15 October 2020: Sweden FI Fines for Late Takeover Disclosure
  • 14 October 2020: U.K. FCA Fines for Failure to Make Short Selling Disclosures
  • 12 October 2020: Germany BaFin Fines for Late Shareholding Disclosure Reporting
  • 8 October 2020: Sweden FI Fines for Late Shareholding Disclosure Reporting
  • 7 October 2020: Sweden FI Fines for Late Short Selling Reporting
  • 7 October 2020: Germany BaFin Fines for Late Shareholding Disclosure Reporting
  • 6 October 2020: Sweden FI Fines for Late Short Selling Reporting
  • 5 October 2020: Sweden FI Fines for Late Short Selling Reporting
  • 30 September 2020: Sweden FI Fines for Inaccuracies in Share Reporting
  • 28 September 2020: Germany BaFin Fines for Late Voting Rights Reporting
  • 28 September 2020: Sweden FI Fines for Late and Inaccurate Shareholding Disclosure Reporting
  • 16 September 2020: Hong Kong SFC Took Action for Breach of Takeovers Code
  • 16 September 2020: Sweden FI Fines Pictet Asset Mgmnt Late Short Selling Reporting in Shares of SKF
  • 16 September 2020: Sweden FI Fines Pictet Asset Mgmnt Late Short Selling Reporting in Shares of Skanska AB and Securitas
  • 15 September 2020: Sweden FI Fines The Vegetable House in Norden AB for Late Transaction Reporting
  • 14 September 2020: Sweden FI Fines SCGE Fund L.P. for Late Short Selling Reporting
  • 26 August 2020: Sweden FI Fines BNP Paribas for Late Short Selling Report
  • 20 August 2020: Philippines SEC Nullified Acquisitions by PSI Shareholder Group
  • 20 August 2020: Sweden FI Fines for Late Disclosure of Transactions
  • 14 August 2020: Sweden FI Fines for Late Short Selling Report
  • 17 July 2020: Japan SESC Fines for Missing Disclosure
  • 6 July 2020: Turkey Bans 6 Firms From Short Selling in Shares
  • 2 July 2020: Sweden FI Fines YBE Ventures for Late Transaction Reporting
  • 26 June 2020: Sweden FI Fines for Late Transaction Reporting
  • 18 June 2020: Hong Kong SFC CICC Takeovers Code Breach
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