Sanctions, requests for investigation and cases of securities market inspections

Financial Supervisory Authority's requests for police investigation and administrative sanctions 2007–30 June 2018

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 1.1.–30.6.2018
Requests for police investigation 2 5 - 3 4 5 4 3 5 2 6 -
Public reprimands  1 1 5 3 3 3 - - 2 - - -
Public warnings - 1 - - - 3 2 2 - 2 5 -
Administrative fines - 14* - 1 5 14 6 2 19 2 3 -
Penalty payments - - - - - - - 1 - 3 4 1

* Figure has been corrected on 1 October 2013.

FIN-FSA has imposed one penalty payment 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, 2007–30 June 2018

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 1.1.–30.6.2018
Total number of cases  65 62 74 70 80 85 100 83 127* 107 96 38
Abuse of inside information 45 27 37 27 34 23 47 36 57* 47 59 23
Market manipulation 5 11 17 11 23 35 28 23 40 31 24 11
Obligation to provide information 12 12 16 25 16 23 17 18 24 24 11 4
Other 3 12 4 7 7 4 8 6 6 5 2 -

* Figures have been corrected on 10 October 2016.

FIN-FSA investigated (up to 30 June 2018) a total of 38 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 40 notifications of suspicious securities transactions or other suspected business operations. A total of 18 notifications have been received from Stock Exchange market supervision.

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