On 12 November 2021, Rulefinder provided warning to an upcoming short selling ban affecting two issuers in S Korea effective on 15 November.
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 22 June 2023 – Sweden FI Fines for Failure to Report Short Selling
 - 12 June 2023 – U.S. SEC Fines for Naked Short Selling Scheme
 - 26 May 2023 – Australia ASIC Fines for Failure to Report Major Shareholding
 - 22 May 2023 – Australia ASIC Fines for Naked Short Selling
 - 18 May 2023 – Kuwait CMA Fines for Failure to Notify Change of Ownership
 - 16 May 2023 – Sweden FI Fines for Substantial Shareholding Reporting Failure
 - 8 May 2023 – Norway FI Fines 6 for Illegal Short Selling
 - 20 April 2023 – Germany BaFin Fines for Failure to Report Substantial Shareholding
 - 17 April 2023 – India SEBI Fines for Failure to Report Substantial Shareholding
 - 11 April 2023 – Italy CONSOB Fines for Failure to Report Substantial Shareholding
 - 29 March 2023 – Netherlands Fines ~$1.5M for Failure to Report Substantial Shareholding
 - 8 March 2023 – S Korea -FSC Fines ~$4M for Naked Short Selling
 - 28 February 2023 – India SEBI Fines for Failure to Disclose Substantial Shareholding
 - 17 February 2023 – U.S. SEC Fines for Short Selling
 - 17 February 2023 – U.S. SEC Fines for Short Selling
 - 10 January 2023 – India SEBI Fines for Late Substantial Shareholding Disclosure
 - 28 December 2022 – Germany BaFin Fines for Late Substantial Shareholding Disclosure
 - 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
 

