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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
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
3 July 2024 – S Korea FSC Fines 2 for Breaches of Short Selling Regulations
12 June 2024 – Norway FI Fines for Illegal Short Selling
11 June 2024 – U.S. SEC Fines for Misleading Disclosures Related to Short Selling
6 June 2024 – Japan FSA Fines for Late Substantial Shareholding Filing
6 June 2024 – Greece HCMC Fines for Late Substantial Shareholding Report
20 May 2024 – U.S. SEC Fines for Illegal Short Selling
19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
5 April 2024 – Luxembourg CSSF Fines for Failure to Report Sensitive Industries Shareholdings
28 March 2024 – Australia ASIC Criminally Charges for Substantial Shareholding Violations
28 March 2024 – Sweden FI Fines for Naked Short Selling
27 March 2024 – India SEBI Fines for Late Major Shareholding Reporting
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