Financial Supervisory Authority's requests for police investigation and administrative sanctions
2007–30 June 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||-|
* Figure has been corrected on 1 October 2013.
FIN-FSA has imposed one penalty payment in the period of the time concerned.
Investigations of cases related to securities market trading and disclosure obligation by Financial Supervisory
Authority, 2007–30 June 2018
Total number of cases ||
|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|
* 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.