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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
2007–2017

200720082009201020112012201320142015​​2016​2017
Requests for police investigation  25-34543​5​2​6
Public reprimands  115333--​2​-​-
Public warnings -1---322​-​25
Administrative fines -14*-1 514621​9​2​3
Penalty payments-------1​-​3​4

* Figure has been corrected on 1 October 2013.

In 2017, FIN-FSA has made a total of 6 requests for police investigation, issued 5 public warnings and imposed 4 penalty payments and 3 administrative fines.

Investigations of cases related to securities market trading and disclosure obligation by Financial Supervisory
Authority, 2007–2017

200720082009201020112012201320142015​2016​2017
Total number of cases  65 62 74 70 80 85 100 83127*107​96
Abuse of inside information 4527372734234736​57*​47​59
Market manipulation 511171123352823​40​31​24
Obligation to provide information 1212162516231718​24​24​11
Other 312477486​6​5​2

* Figures have been corrected on 10 October 2016.

In the course of 2017, FIN-FSA investigated a total of 96 cases related mainly to securities market trading and disclosure obligation. Total number of cases (2007–2017) refers to cases completed in the year concerned.

FIN-FSA has received from brokers 81 notifications of suspicious securities transactions or other suspected business operations. A total of 42 notifications have been received from Stock Exchange market supervision.

FIN-FSA has issued 13 requests for judicial assistance to supervisors regarding the supervision of securities market abuse, and also received 10 such requests.      

See also

 

 

3 April 2018

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