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Sanctions, requests for investigation and cases of securities market inspections

Financial Supervisory Authority's requests for investigation, and administrative sanctions
2006–2016

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

* Figure has been corrected on 1 October 2013.

In 2016, FIN-FSA has made a total of two requests for police investigation, issued two public warnings and imposed three penalty payments and two administrative fines.                          

Investigations of cases related to securities market trading and disclosure obligation by Financial Supervisory
Authority, 2005–30.6.2015

2006200720082009201020112012201320142015​2016
Total investigations  62 65 62 74 70 80 85 100 83127*107
Abuse of inside information 294527372734234736​57*​47
Market manipulation 10511171123352823​40​31
Obligation to provide information 211212162516231718​24​24
Other 2312477486​6​5

* Figures have been corrected on 10 October 2016.

In the course of 2016, FIN-FSA investigated a total of 107 cases related mainly to securities market trading and disclosure obligation.Total number of cases refers to cases completed in the year concerned.

FIN-FSA has received from brokers 49 notifications of suspicious securities transactions or other suspected business operations (against 58 in 2015). A total of 33 notifications have been received from Stock Exchange market supervision (against 30 in 2015).

FIN-FSA has issued three requests for judicial assistance to supervisors regarding the supervision of securities market abuse (against 17 in 2015), and also received one such requests (against 6 in 2015).               

See also

 

 

19 April 2017

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