13 January 2020: NYMEX Fine GMO in Position Limit Violation
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 TTC Invest For Late Shareholding Disclosure
10 January 2020: Sweden FI Fines Insider for Late Notification
10 January 2020: Sweden FI Fines Insider for Late Notification
12 August 2019: Germany BaFin Fines Goldman €800k for Voting Rights.
12 August 2019: GE BaFin Fines Goldman €800k for Voting Rights.
18 June 2019: SEC Wedbush Mishandling ADRs
18 June 2019: SEC Wedbush Mishandling ADRs
E.U. – Nasdaq Nordic Takeover Rules Breach
On 21 January 2022, Nasdaq Nordic fined LSTH Svenska Handelsfastigheter AB. Nasdaq Nordic disciplinary committee fined LSTH Svenska Handelsfastigheter AB SEK 1,500,000 for breaching rule book for issuers of fixed income instruments. Summary Swedish Securities Council ruling 2021:43 found it violated item II.3 of the takeover rules for certain trading platforms issued by the Swedish […]