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U.K. – FCA Short Selling Reporting Exempt Shares

January 12, 2021 by admin in News

On 11 January 2021, UK FCA issued UK list of exempted shares with regard to reporting.

Tags: short selling

RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES

  • 10 July 2026 - Germany BaFin Fines $220K for Shareholding Notification Failures
  • 4 May 2026 - U.S. SEC Fines Company for Inaccurate Schedule13D
  • 4 May 2026 - U.S. SEC Fines for Late Beneficial Ownership Disclosure
  • 4 May 2026 - U.S. SEC Fines Musk and Revocable Trust for Failure to Report Major Shareholding
  • 20 April 2026 - Netherlands Fines Arrowstreet for Short Selling Reporting Failures
  • 20 April 2026 - U.S. FINRA Fines for Failure to Comply with Short Selling Regulations
  • 10 April 2026 - Sweden Fines for Late Major Shareholding Disclosure
  • 26 March 2026 - Namibia CRAN Rejects Starlink Satellite Application
  • 24 March 2026 - S Korea Fines for not Disclosing Major Shareholding Change
  • 16 March 2026 - Australia ASIC Fines Macquarie for Misreporting Short Selling
  • 10 March 2026 - Germany BaFin Fines For Failing to Submit Voting Rights Notifications
  • 27 February 2026 - India SEBI Fines for Failure to Disclose Shareholding in Sensitive Industries
  • 6 February 2026 - UAE FSA Fines for Failure to Notify Change of Shareholding/Control
  • 5 January 2026 - India SEBI Fines for Failure to Disclose Major Shareholding
  • 17 December 2025 - Norway Fines for Failure to Report Major Shareholding

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