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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11 April 2025 – Denmark Fines for Late Substantial Shareholding Reporting
Denamrk Fines for Late Substantial Shareholding Reporting
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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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20 March 2025 – China Fines for Failure to Obey Lock-in Period Re: Substantial Shareholding
China Fines for Failure to Obey Substantial Shareholding Lock-in Period
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20 February 2025 – Poland Fines for Substantial Shareholding Reporting Failures
Poland KNF Fines for Late Substantial Shareholding Reporting
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Australia – Reduction in Substantial Shareholding by First Sentier
On 13 February 2025, First Sentier Investors reduced its substantial shareholding in Capricorn Metals Ltd. Capricorn says this may impact the company’s shareholder structure potentially influencing future voting outcomes and strategic decisions
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