Tag Archives: shareholding disclosure

Sweden – FI Fine Late Shareholding Disclosure Reporting

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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Sweden – FI Fines for Late Shareholding Disclosure

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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Germany – BaFin Fines for Late Shareholding Disclosure

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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Germany – BaFin Imposes Fine for Shareholding Disclosure Failure

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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India – BSE Shareholding Disclosure

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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