On 7 February 2021, SSE and SZSE answered reporters' questions about CSRC guidelines. Exchanges committed to carrying out the tasks for ensuring shareholder disclosure. Sponsor institutions, securities service institutions and other intermediaries shall be diligent and responsible in verifying shareholder information disclosed by the issuer. Background CSRC issued guidelines for disclosure by shareholders of companies…
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Tag Archives: shareholder disclosures
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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 11 November 2020: Germany BaFin Fines for Late Reporting Shareholding
- 4 November 2020: Sweden FI Fines for Late Reporting Shareholding
- 27 October 2020: Sweden FI Fines for Late Shareholding Disclosure
- 19 October 2020: Sweden FI Fines for Late Short Selling Reporting
- 16 October 2020: Sweden FI Fines for Late Shareholding Disclosure Reporting
- 15 October 2020: Hong Kong SFC Censures for Breach of Takeovers Code
- 15 October 2020: Sweden FI Fines for Late Takeover Disclosure
- 14 October 2020: U.K. FCA Fines for Failure to Make Short Selling Disclosures
- 12 October 2020: Germany BaFin Fines for Late Shareholding Disclosure Reporting
- 8 October 2020: Sweden FI Fines for Late Shareholding Disclosure Reporting
- 7 October 2020: Sweden FI Fines for Late Short Selling Reporting
- 7 October 2020: Germany BaFin Fines for Late Shareholding Disclosure Reporting
- 6 October 2020: Sweden FI Fines for Late Short Selling Reporting
- 5 October 2020: Sweden FI Fines for Late Short Selling Reporting
- 30 September 2020: Sweden FI Fines for Inaccuracies in Share Reporting
- 28 September 2020: Germany BaFin Fines for Late Voting Rights Reporting
- 28 September 2020: Sweden FI Fines for Late and Inaccurate Shareholding Disclosure Reporting
- 16 September 2020: Hong Kong SFC Took Action for Breach of Takeovers Code
- 16 September 2020: Sweden FI Fines Pictet Asset Mgmnt Late Short Selling Reporting in Shares of SKF
- 16 September 2020: Sweden FI Fines Pictet Asset Mgmnt Late Short Selling Reporting in Shares of Skanska AB and Securitas
- 15 September 2020: Sweden FI Fines The Vegetable House in Norden AB for Late Transaction Reporting
- 14 September 2020: Sweden FI Fines SCGE Fund L.P. for Late Short Selling Reporting
- 26 August 2020: Sweden FI Fines BNP Paribas for Late Short Selling Report
- 20 August 2020: Philippines SEC Nullified Acquisitions by PSI Shareholder Group
- 20 August 2020: Sweden FI Fines for Late Disclosure of Transactions
- 14 August 2020: Sweden FI Fines for Late Short Selling Report
- 17 July 2020: Japan SESC Fines for Missing Disclosure
- 6 July 2020: Turkey Bans 6 Firms From Short Selling in Shares
- 2 July 2020: Sweden FI Fines YBE Ventures for Late Transaction Reporting
- 26 June 2020: Sweden FI Fines for Late Transaction Reporting
- 18 June 2020: Hong Kong SFC CICC Takeovers Code Breach
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