On 30 December 2021, AUT FMA reported on new net short reporting threshold. AUT FMA reported on lowered EC notification threshold for net short positions. Follows EC September 2021 adopted regulation on notification threshold. Also follows ESMA May 2021 proposed permanently lowering threshold. Also follows ESMA September 2021 consultation to review short sale rules Overview…
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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 22 February 2021: Hong Kong SFC Fines $3.15M for Inaccurate Short Sale Disclosures
- 11 February 2021: Sweden FI Fines for Late Shareholding Disclosure
- 10 February 2021: Sweden Court Annuls Fines for Late Shareholding Disclosure
- 27 January 2021: Germany BaFin Fines for Late Voting Rights Disclosure
- 27 January 2021: Sweden FI Fines 500,000SEK for Late Shareholding Disclosure
- 27 January 2021: Sweden FI Fines 60,000SEK for Late Short Selling Disclosure
- 15 January 2021: Sweden FI Fines Brax Investments 2.4M SEK Late Shareholding Disclosures
- 23 December 2020: Hong Kong SFC Fines $3.6M for Short Selling Reporting Failures
- 22 December 2020: Germany BaFin Fines for Late Shareholding Reporting
- 17 December 2020: Sweden FI Fines for Late Transaction Reporting of Shares
- 10 December 2020: Sweden FI Fines SEK 1M for Late Shareholding Disclosure Report
- 8 December 2020: Sweden FI Fines for Late Transaction Reporting
- 1 December 2020: Brazil CVM Fines for Failure to Disclose Stock Sale
- 25 November 2020: Sweden FI Fines for Late Shareholding Disclosure
- 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
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