Sanctions, requests for investigation and cases of securities market inspections
Financial Supervisory Authority's requests for police investigation and administrative sanctions 2009–30.6.2019
2009 | 2010 | 2011 | 2012 | 2013 | 2014 | 2015 | 2016 | 2017 | 2018 | 1.1.–30.6.2019 | |
Requests for police investigation | - | 3 | 4 | 5 | 4 | 3 | 5 | 2 | 6 | 5 | 1 |
Public reprimands | 5 | 3 | 3 | 3 | - | - | 2 | - | - | - | - |
Public warnings | - | - | - | 3 | 2 | 2 | - | 2 | 5 | 3 | - |
Administrative fines | - | 1 | 5 | 14 | 6 | 2 | 19 | 2 | 3 | - | - |
Penalty payments | - | - | - | - | - | 1 | - | 3 | 4 | 3 | 3 |
FIN-FSA has made one request for police investigation and imposed three penalty payments in the period of the time concerned.
FIN-FSA's administrative sanctions and supervisory measures are published here.
Investigations of cases related to securities market trading and disclosure obligation by Financial Supervisory Authority, 2009–30.6.2019
2009 | 2010 | 2011 | 2012 | 2013 | 2014 | 2015 | 2016 | 2017 | 2018 | 1.1.–30.6.2019 | |
Total number of cases | 74 | 70 | 80 | 85 | 100 | 83 | 127* | 107 | 96 | 108 | 57 |
Abuse of inside information | 37 | 27 | 34 | 23 | 47 | 36 | 57* | 47 | 59 | 69 | 38 |
Market manipulation | 17 | 11 | 23 | 35 | 28 | 23 | 40 | 31 | 24 | 24 | 15 |
Obligation to provide information | 16 | 25 | 16 | 23 | 17 | 18 | 24 | 24 | 11 | 13 | 3 |
Other | 4 | 7 | 7 | 4 | 8 | 6 | 6 | 5 | 2 | 2 | 1 |
* Figures have been corrected on 10 October 2016.
FIN-FSA investigated (up to 30 June 2019) a total of 57 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 55 notifications of suspicious securities transactions or other suspected business operations (against 40 up to 30. June 2018). A total of 19 notifications have been received from Stock Exchange market supervision (against 18 up to 30 June 2018) and other market places (MTF) four.
FIN-FSA has issued one request for judicial assistance to supervisors regarding the supervision of securities market abuse (against 9 up to 30. June 2018), and also received one such request (against 2 up to 30 June 2018).