On 15 March 2022, ESP CNMV issued draft circular on notification models. ESP CNMV issued a consultation on draft circular on notification models for significant shareholdings, issuer operations on treasury shares, market makers (current cir 8/2015). Follows ESP CNMV November 2021 interpretative criteria for transactions. Follows ESP CNMV May 2020 issued rules for reporting some…
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Tag Archives: signficant shareholdings
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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 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
- 17 June 2020: Sweden FI Fines for Late Transaction Reporting
- 17 June 2020: Sweden FI Fines for Late Substantial Shareholding Disclsoure
- 12 June 2020: Sweden FI Fines for Incorrect Disclsoure
- 11 June 2020: Sweden FI Fines Mackay Shields for Late Short Selling Reporting
- 11 June 2020: Hong Kong SFC Breach of Takeovers Code
- 10 June 2020: Sweden FI Fines for Late Short Selling Reporting
- 9 June 2020: Germany BaFin Orders Filings for Major Shareholding Disclosures
- 8 June 2020: Sweden FI Fines Cambridge Global for Late Major Shareholding Disclosures
- 4 June 2020: Nasdaq Nordic Fines Hitech for Takeover Rules
- 3 June 2020: Sweden FI Fines for Failure to Disclose
- 3 June 2020: Belgium FSMA Late Reported Transactions
- 1 June 2020: Sweden FI Fines SEK2.4m for Late Shares Transparency
- 1 June 2020: Sweden FI Fines SEK2.4m for Late Transparency Reporting
- 1 June 2020: Sweden FI for Late Shares Transaction Reporting
- 1 June 2020: Sweden FI fined Neongelb Invest for Late Substantial Shareholding Disclosure
- 28 May 2020: Sweden FI for Late Transaction Reporting
- 13 May 2020: Sweden FI Fines Cheyne Capital for Late Short Selling Reporting
- 12 May 2020: Sweden FI Fines for Failure to Report Falling Below Short Selling Threshold
- 11 May 2020: Sweden FI Fines for Late Short Selling Reporting
- 23 April 2020: Sweden FI Fines Armistice Capital for Late Substantial Shareholding Disclosure
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