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
- 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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