On 3 January 2020, EU ESMA issued updated list of market makers and authorized primary dealers using the exemption in the regulation on short selling and CDS.
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 28 September 2024 – Turkey Fines for Failure to Recognize Short Selling Ban
- 27 September 2024 – Austria FMA Fines for Late Substantial Shareholding Report
- 27 September 2024 – China Fines for Late Substantial Shareholding Report
- 27 September 2024 – China Fines for Failure to File Substantial Shareholding Report
- Austria – FMA Fines for Failures in Substantial Shareholding Reporting
- China – CSRC Fines for Substantial Shareholding Reporting Failure
- 25 September 2024 – U.S. SEC Fines 23 for Late Major Shareholding and Insider Transaction Reports
- 25 September 2024 – Austria FMA Fines for Late Major Shareholding Reporting
- U.S. – SEC Fines HK Based Trading Firm for Illegal Short Selling
- U.S. – SEC Fines 23 for Major Shareholding Reporting Failures
- Austria – FMA Fines for Late Shareholding Disclosure
- 23 September 2024 – Turkey CMB Fines for Breach of Short Selling Ban
- 23 September 2024 – U.S. SEC Fines for Breach of Short Selling Rules
- 20 September 2024 – U.S. SEC Seeks to Fine Musk for Failure to Report Major Shareholding
- 19 September 2024 – U.S. SEC Fines for Breach of Short Selling Rules
- 17 September 2024 – U.S. SEC Failure to File Form 13F for Major Shareholding
- 12 September 2024 – Hong Kong SFC Fines for Fraud through Illegal Short Selling
- 9 September 2024 – Sweden FI Fines for Late Substantial Shareholding Reporting
- 30 August 2024 – India SEBI Fines for Failure to Disclose Major Shareholding
- 29 August 2024 – Germany BaFin Fines for Late Major Shareholding Reports
- 20 August 2024 – Germany BaFin Fines for Failure to File Major Shareholding Reports
- 15 August 2024 – Turkey CMB Fines for Short Selling Violations
- 6 August 2024 – Austria FMA Fines for Late Reporting of Substantial Shareholding
- 30 July 2024 – U.K. FCA Fines for Takeover Reporting Failure
- 18 July 2024 – Poland KNF Fines for Failure to Report Major Shareholding
- 16 July 2024 – Sweden FI Fines for Substantial Shareholding Reporting Failure
- 16 July 2024 – Sweden FI Fines for Substantial Shareholding Reporting Failure
- 16 July 2024 – Sweden FI Fines for Substantial Shareholding Reporting Failure
- 10 July 2024 – Italy Consob Fines for Late Substantial Shareholding Report
- 10 July 2024 – Italy Consob Fines for Failure to Comply with Substantial Shareholding Rules
- 3 July 2024 – S Korea FSC Failure to Report Short Selling