On 18 November 2020, EU ESMA issued notification thresholds for sovereign issuers.
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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 21 December 2022 – India SEBI Fines for Failure to Disclose Substantial Shareholding
- 16 December 2022 – Sweden FSA Fines for Late Substantial Shareholding Disclosure
- 2 December 2022 – India SEBI Fines for Failure to Disclose Substantial Shareholding
- 30 November 2022 – India SEBI Fines for Failure to Disclose Substantial Shareholding and Takeover Breach
- 23 November 2022 – Finland FSA Fines for Late Short Selling Reporting
- 7 November 2022 – Germany BaFin Fines for Late Substantial Shareholding Disclosure
- 31 October 2022 – Germany BaFin Fines Union Service-Gesellschaft mbH for Late Substantial Shareholding
- 28 October 2022 – India SEBI Fines for Takeover Reporting Failures
- 12 October 2022 – Hong Kong SFC Fines for Short Selling Disclosure Failures
- 6 October 2022 – U.S. FINRA Fines for Inaccurate Short Selling Disclosures
- 3 October 2022 – U.S. FINRA Fines For Violations of Naked Short Selling
- 18 August 2022 – U.S. FINRA Censures and Fines for Short Selling
- 18 August 2022 – Hong Kong SFC Fines for Illegal Short Selling
- 12 August 2022 – US SEC Fines for Naked Short Selling
- 11 August 2022 – Poland FSA Fines for Substantial Shareholding Disclosure Failures
- 9 August 2022 – Poland FSA Fines $1M for Failure to Report Substantial Shareholdings
- 2 August 2022 – Germany BaFin Fines $5M for Substantial Shareholding Failure
- 22 July 2022 – Iceland FSA Fines for Substantial Shareholding Disclosure Failure
- 27 July 2022 – India SEBI Fines for Takeover Reporting Failure
- 18 July 2022 – India SEBI Fines for Takeover Reporting Failure
- 14 July 2022 – India SEBI Fines for Substantial Shareholding Disclosure
- 12 July 2022 – France AMF Fines $1.3M for Takeover Reporting Failure
- 6 September 2022 – U.S. SEC Fines for Failure to Report Schedule 13D
- 21 June 2022 – France AMF Fines for Major Shareholding Reporting Failure
- 20 June 2002: Germany BaFin Fines for Voting Rights Breach
- 14 June 2022: U.S. – SEC Fines for Short Selling Violations
- 29 March 2022: Sweden FI Fines Voleon Capital for Late Short Selling Disclosure
- 23 March 2022: Sweden FI Fines Lazard for Late Substantial Shareholding Disclosure
- 26 January 2022: Sweden FSA Fines Armistice Capital for Late Major Shareholding Disclosure
- 1 December 2021: Norway FSA Fines CPPIB for Late Short Selling Report
- 22 November 2021: Germany BaFin Fines Major Fund Company for Late Substantial Shareholding