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
- 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
 - 4 November 2021: Austria FMA Sanctions for Late Substantial Shareholding Disclosure
 - 28 October 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
 - 27 September 2021: Sweden – FI Fines Natural Person for Late Substantial Shareholding Disclosure
 - 16 September 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
 - 8 September 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
 - 1 September 2021: Sweden – FI Fines for Late Short Selling Disclosure
 - 31 August 2021: U.S. – ICE FUS Fine Aspire for Position Limits
 - 26 August 2021: India – SEBI Fines for Late Substantial Shareholding Disclosure
 - 23 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
 - 17 August 2021: U.S. SEC Fines for Short Selling Violation
 - 11 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
 - 9 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
 - 16 July 2021: Austria FMA Fines for Late Shareholding Disclosure Reporting
 - 8 July 2021: Sweden FI Fines Nasdaq Nordic for Takeover Breach
 

