On 8 June 2022, ESP GVT published ESP CNMV circular 2/2022 on significant holdings. It deals with notification models for significant holdings, issuer operations on treasury shares and market makers; it will enter into force 60 days after official publication. Regulated entities must use the new models approved by it for notifications they have to…
Read more
Tag Archives: significant holdings
- Home
- Tag Archives: "significant holdings"
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 4 November 2021: Austria FMA Sanctions for Late Substantial Shareholding Disclosure
- 28 October 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
- 27 September 2021: Sweden – FI Fines Natural Person for Late Substantial Shareholding Disclosure
- 16 September 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
- 8 September 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
- 1 September 2021: Sweden – FI Fines for Late Short Selling Disclosure
- 31 August 2021: U.S. – ICE FUS Fine Aspire for Position Limits
- 26 August 2021: India – SEBI Fines for Late Substantial Shareholding Disclosure
- 23 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
- 17 August 2021: U.S. SEC Fines for Short Selling Violation
- 11 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
- 9 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
- 16 July 2021: Austria FMA Fines for Late Shareholding Disclosure Reporting
- 8 July 2021: Sweden FI Fines Nasdaq Nordic for Takeover Breach
- 28 June 2021: Sweden FI Fines for Late Short Selling Reporting in 10 Issuers
- 28 June 2021: Sweden FI Fines for Late Short Selling Reporting
- 17 June 2021: France AMF Fines for Late Takeover Reporting
- 10 June 2021: Germany BaFin Fines for Late Shareholding Disclosure Reporting
- 9 June 2021: Sweden’s FI fines Spectric Intelligence for Late Shareholding Disclosure Reporting
- 8 June 2021: Sweden’s FI fines for Late Shareholding Disclosure Reporting
- 25 May 2021: Germany BaFin Fines for Voting Rights Reporting Failure
- 14 May 2021: Sweden FI Fines for Late Short Selling Reporting
- 23 April 2021: Sweden FI Fines for Late Short Selling Reporting
- 15 April 2021: Sweden FI Fines for Failure to Report Warrants
- 15 April 2021: Croatia HANFA Fines for Failure to Report Takeover Bid
- 15 April 2021: Hong Kong SFC Fines for Failure to Report Short Selling
- 1 April 2021: Turkey CMB Fines Several Prominent Institutions for Unlawful Short Selling
- 16 March 2021: Sweden FI Fines for Late Shareholding Disclosure
- 15 March 2021: Sweden FI Fines for Late Shareholding Disclosure
- 11 March 2021: Sweden FI Fines for Inaccurate Shareholding Disclosure
- 24 February 2021: South Korea FSC Fines 6 Firms for Naked Short Selling
About
Lorem ipsum dolor sit amet, consectetur adipiscing elit. Etiam consectetur aliquam quam id sollicitudin. Vivamus vitae mauris quis arcu vestibulum volutpat. Et cursus justo lectus a metus. In id ligula nec lacus venenatis auctor sed sed mauris.