Tag Archives: substantial shareholding disclosure
On 4 November 2021, the FMA fined Compass Gruppe GmbH for belated notification of the exceeding of the 4% shareholding limit of shares in an issuer. The company failed to notify the FMA, the stock exchange company and the issuer (CLEEN Energy AG) of exceeding the substantial shareholding participation limit in due time.
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On 11 November 2021, AST ASIC released a report highlighting the key issues that arose out of the submissions received on consultation paper 319 securities lending by agents and substantial shareholding disclosure (CP 319) and details ASIC's responses. It also covers the targeted consultation on the remake of class order [CO 11/272] substantial shareholding disclosure:…
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On 16 April 2021, SEBI issued a fine against Chaitya Rajesh Shah for his failure to make substantial shareholding disclosures for shares held in Gitanjali Gems Ltd.
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On 6 May 2020, BaFin issued an update announcing mandatory electronic filing of major holdings will be effective in July 2020. In March 2020, BaFin informed of an upcoming amendment to the regulation on the notification of major shareholdings (Stimmrechtsmitteilungsverordnung – StimmRMV) according which the electronic submission will be the only permitted method of submitting…
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On 12 August 2019, SWE FI fined Fredell for late notification of holdings. Fredell & Co Aktiebolag must pay a penalty fee of SEK 260,000 for having reported too late that the holding of shares in Invuo Technologies had fallen below a flagging limit. Invuo Technologies AB shares were trading on Nasdaq Stockholm until 8…
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