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Sanctions, requests for investigation and cases of securities market inspections

Financial Supervisory Authority's requests for investigation, and administrative sanctions
2005–30.6.2016

2005 2006 2007 2008 2009 2010 2011 2012 2013 20142015​​30.6.2016
Requests for police investigation   1 3 2 5 - 3 4 5 4 3​5​1
Public reprimands   2 - 1 1 5 3 3 3 - -​2​-
Public warnings - - - 1 - - - 3 2 2​-​2
Administrative fines - - - 14* - 1 5 14 6 21​9​1
Penalty payments - - - - - - - - - 1​-​-

* Figure has been corrected on 1 October 2013.

In 2016 (up to 30 June 2016), FIN-FSA has made a total of one request for police investigation, issued two public warnings and imposed one administrative fine.                           

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

2005 2006 2007 2008 2009 2010 2011 2012 2013 20142015​30.6.2016
Total investigations  41 62 65 62 74 70 80 85 100 83127*93
Abuse of inside information 18 29 45 27 37 27 34 23 47 36​57*​48
Market manipulation 6 10 5 11 17 11 23 35 28 23​40​13
Obligation to provide information  13 21 12 12 16 25 16 23 17 18​24​27
Other 4 2 3 12 4 7 7 4 8 6​6​5

* Figures have been corrected on 10 October 2016.

FIN-FSA investigated (up to 30 June 2016) 93 cases related mainly to securities market trading and disclosure obligation in 2016 (against 102 in 30 June 2015). The figure for 30.6.2016 includes inspections terminated and pending in the period under review. "Total investigations" (2005–2015) refers to inspections completed in the year concerned.                    

FIN-FSA has received from brokers 17 notifications of suspicious securities transactions or other suspected business operations (against 37 in 30 June 2015). A total of 14 notifications have been received from Stock Exchange market supervision (against 15 in 30 June 2015). FIN-FSA has issued three requests for judicial assistance to supervisors regarding the supervision of securities market cases (against four in 30 June 2015), and also received one such request (against three in 30 June 2015).                      

See also

 

 

10 October 2016

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