Tag Archives: substantial shareholding

New Zealand – FiMA Market Manipulation Case Re: Substantial Shareholding

On 1 May 2025, NZFiMA said Kok Ding Cheng has been ordered to pay a pecuniary penalty of NZD 198k for market manipulation pertaining to substantial shareholding. The Court found Mr Cheng deliberately placed trades worth NZD 59 - 540 to inflate RUA share prices, breaching section 265 of the Financial markets conduct act 2013.…
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Norway – OSLO Information for Shareholding

On 1 April 2025, NOR OSLO issued example and key legal information. NOR OSLO issued example, key legal information for shareholding in Norwegian public limited companies listed on Euronext Oslo Børs or Euronext Expand Oslo. Overview It is a summary of certain Norwegian legal issues related to shareholding in Norwegian companies listed on Euronext Oslo…
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UN – PRI Schedule 13(D), 13(G) Substantial Shareholding Reporting

On 22 April 2025, UN PRI issued policy briefing re disclosure reporting. UN PRI issued policy briefing, FAQ discussing schedule 13(D) and 13(G) reporting. Provided high-level overview of a specific regulatory provision of US SEC governing filings for investors with substantial shareholding of  5% or more of any class of company’s outstanding stock. Follows February,…
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Sweden – FI Stenvalls Tra Aktiebolag Substantial Shareholding Penalty

On 19 March 2025, SWE FI fined Stenvalls Tra Aktiebolag for late notifications. SWE FI imposed penalty of SEK 1,400,000 on Stenvalls Tra Aktiebolag for failing to report substantial shareholding transactions with shares in Genesis IT AB to SWI FI within prescribed time. Fine is per Act 2016:1306 supplementary provisions to EU Market Abuse Regulation.…
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