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Sanctions, requests for investigation and cases of securities market inspections

Financial Supervisory Authority's requests for police investigation and administrative sanctions
2006–30.6.2017

2006200720082009201020112012201320142015​​2016​30.6.2017
Requests for police investigation  325-34543​5​2​2
Public reprimands  -115333--​2​-​-
Public warnings --1---322​-​24​
Administrative fines --14*-1 514621​9​2​2
Penalty payments--------1​-​3​4

* Figure has been corrected on 1 October 2013.

In 2017 (up to 30 June 2017), FIN-FSA has made a total of two requests for police investigation, issued four public warnings and imposed four penalty payments and two administrative fines.                      

Investigations of cases related to securities market trading and disclosure obligation by Financial Supervisory
Authority, 2006–30.6.2017

2006200720082009201020112012201320142015​2016​30.6.2017
Total number of cases  62 65 62 74 70 80 85 100 83127*107​46
Abuse of inside information 294527372734234736​57*​47​23
Market manipulation 10511171123352823​40​31​15
Obligation to provide information 211212162516231718​24​24​7
Other 2312477486​6​5​1

* Figures have been corrected on 10 October 2016.

FIN-FSA investigated (up to 30 June 2017) a total of 46 cases related mainly to securities market trading and disclosure obligation.
Total number of cases refers to cases completed in the period of the time concerned.

FIN-FSA has received from brokers 33 notifications of suspicious securities transactions or other suspected business operations (against 17 in June 30 2016). A total of eight notifications have been received from Stock Exchange market supervision (against 14 in June 30 2016).

FIN-FSA has issued seven requests for judicial assistance to supervisors regarding the supervision of securities market abuse (against three in June 30 2016), and also received six such requests (against one in June 30 2016).               

See also

 

 

31 October 2017

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