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
|Requests for police investigation||-||3||4||5||4||3||5||2||6||5||1|
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
|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|
|Obligation to provide information||16||25||16||23||17||18||24||24||11||13||3|
* 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).