Tag Archives: shareholding disclosure
On 11 August 2021, SWE FI fined TVL Gold 1 for late shareholding disclosure reporting. SWE FI fined TVL Gold 1 LLC for late shareholding disclosure in Endomines AB. Background TVL Gold 1 LLC (the company) is related to AA, a person in a leading position in Endomines AB in July 2020, and on 30…
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On 9 August 2021, SWE FI issued penalty fee for late flagging by Nordnet AB. SWE FI ordered Nordnet AB to pay a fee for late flagging in Pricer and Immunicum. SEK 250,000 fee for late shareholding disclosure reporting of votes for shares in Pricer AB exceeding flag limit. And holdings of shares and votes…
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Just realizing that my last update on foreign direct investment was at the end of 2020, so let's jump in and catch you up on the first half of 2021, read the full article.
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On 10 June 2021, BaFin imposed an administrative fine amounting to 160,000 euros on Dorval Asset Management. Sanction related to a breach of section 130 (1) of the German Act on Breaches of Administrative Regulations (Ordnungswidrigkeitengesetz – OWiG) in conjunction with section 33 (1) of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG). Dorval Asset…
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On 25 May 2021, BaFin imposed an administrative fine amounting to 24,000 euros on Epigenomics AG. The sanction related to a breach of section 26a (1) sentence 1 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG) old version. Epigenomics AG failed to publish the total number of voting rights tied to shareholding disclosure within…
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On 31 March 2021, IND BSE discontinued disclosure of holdings in companies. IND BSE discontinued the quarterly disclosure requirement by trading members on their holdings in various listed companies, effective from quarter ended March 2021. Disclosure of Holdings Notices issued in 2014 required members to disclose their holdings of 1% or more in listed companies…
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