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28 October 2025 – Sweden Fines for Failure to Report

October 28, 2025 by Anna Monteiro in links

Sweden Fines for Failure to Report

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25 October 2025 – India SEBI Fines for Substantial Shareholding Failure

October 25, 2025 by Anna Monteiro in links

India SEBI Fines for Substantial Shareholding Failure

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22 October 2025 – India SEBI Fines for LODR Regulation Failure

October 22, 2025 by Anna Monteiro in links

India SEBI Fines for for LODR Regulation Failure

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20 October 2025 – Spain Fines for Failure to Reporting Shareholding in Sensitive Industries

October 20, 2025 by Anna Monteiro in links

Spain Fines for Failure to Reporting Shareholding in Sensitive Industries

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15 October 2025 – Germany BaFin Fines for Failure to Report Voting Rights

October 15, 2025 by Anna Monteiro in links

Germany BaFin Fines for Failure to Report Voting Rights

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14 October 2025 – India SEBI Fines for Breach of Substantial Shareholding Regime

October 14, 2025 by Anna Monteiro in links

India SEBI Fines for Breach of Substantial Shareholding Regime

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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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