27 July 2023 – Austria FMA Fines for Substantial Shareholding Disclosure Failure
Austria FMA Fines for Substantial Shareholding Disclosure Failure
Taiwan – FSC Lowers Threshold for Substantial Shareholding
On 21 April 2023, TAI FSC passed the amended securities and exchange act. TAI FSC said that Executive Yuan passed third reading of Securities and Exchange Act. Amendment Revise threshold for substantial shareholding disclosure and announcement to 5%. Raise the lower limit penalties for violations of relevant regulations by securities firms, securities service enterprises and […]
Germany – BaFin Fines Carne Group Late Substantial Shareholding Disclosure
On 22 November 2022, GE BaFin fined Carne Global Fund Managers for breach. GE BaFin fined Carne Global Fund Managers (Luxembourg) SA €382,000 for violations of section 33 (1) sentence 1 (shareholdings reporting) of the German Securities Trading Act (WpHG). The fine was imposed because Carne Global Fund Managers did not submit its voting rights […]
7 November 2022 – Germany BaFin Fines for Late Substantial Shareholding Disclosure
Germany BaFin Fines for Late Substantial Shareholding Disclosure
11 August 2022 – Poland FSA Fines for Substantial Shareholding Disclosure Failures
Poland FSA Fines for Substantial Shareholding Disclosure Failures
22 July 2022 – Iceland FSA Fines for Substantial Shareholding Disclosure Failure
Iceland FSA Fines for Substantial Shareholding Disclosure Failure