On 1 August 2021, FR GVT published seven orders dated 28 July 2021 amending existing legislation to allow further transposition of EU investment firms directive. The first order amends a previous order of 3 November 2014 and specifies the rules making it possible to define supervisory authority on consolidated basis of a company group. The…
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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 22 March 2024 – Austria FMA Fines for Major Shareholding Reporting Failure
- 21 March 2024 – India SEBI Fines for Major Shareholding Reporting Failure
- 14 March 2024 – U.S. SEC Fines for Naked Short Selling
- 13 March 2024 – India SEBI Fines for Violation of Takeover Rule
- 12 March 2024 – Austria FMA Fines for Failure to Report Substantial Shareholdings
- 10 March 2024 – Turkey CMB Fines for Failure to Report Substantial Shareholding
- 8 March 2024 – Turkey CMB Fines for Short Selling Violation
- 7 March 2024 – Turkey Fines for Short Selling Violation
- 7 March 2024 – Turkey CMB Fines for Short Selling Failure
- 4 March 2024 – Turkey CMB Fines for Substantial Shareholding Violation
- 3 March 2024 – Turkey CMB Fines for Short Selling Violation
- 1 March 2024 – U.S. SEC Fines for Major Shareholding Reporting Failure
- 21 February 2024 – U.S. SEC Fines for Short Selling Violations
- 27 December 2023 – France AMF Failure to Disclose Major Shareholding
- 24 December 2023 – S Korea FSC Fines for Naked Short Selling
- 21 December 2023 – Norway FSA Fines for Short Selling Violations
- 7 November 2023 – Hong Kong SFC Issues Charges for Illegal Short Selling
- 20 October 2023 – U.S. SEC Fines for Short Selling Violations
- 27 September 2023 – U.S. SEC Fines Six for Major Shareholding Reporting Failures
- 25 September 2023 – India SEBI Fines for Takeover Reporting Failure
- 22 September 2023 – U.S. SEC Fines for Improper Short Selling
- 15 September 2023 – China CSRC Fines for Major Shareholding Reporting Failures
- 13 September 2023 – U.S. SEC Fines for Failure to Report Major Shareholding
- 11 September 2023 – Norway FSA Fines for Short Selling
- 24 August 2023 – Spain CB Fines for Substantial Shareholding Reporting Failures
- 10 August 2023 – Germany BaFin Fines €600k for Substantial Shareholding Reporting Failures.
- 27 July 2023 – Austria FMA Fines for Substantial Shareholding Disclosure Failure
- 23 July 2023 – U.S. SEC Fines $1M for 13G Reporting Failure
- 14 July 2023 – S Korea FSC Fines for Illegal Short Selling
- 11 July 2023 – U.S. FINRA – Fines for Failure to Accurately Report Short Selling
- 30 June 2023 – Poland KNF Fines 5 for Multiple Substantial Shareholding Reporting Failures
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