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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

Requests for police investigation  25-34543​5​2​6-​
Public reprimands  115333--​2​-​-​-
Public warnings -1---322​-​25​-
Administrative fines -14*-1 514621​9​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.

Investigations of cases related to securities market trading and disclosure obligation by Financial Supervisory
Authority, 2007–30 June 2018

200720082009201020112012201320142015​2016​2017​1.1. –30.6.2018
Total number of cases  65 62 74 70 80 85 100 83127*107​9638​
Abuse of inside information 4527372734234736​57*​47​59​23
Market manipulation 511171123352823​40​31​24​11
Obligation to provide information 1212162516231718​24​24​11​4
Other 312477486​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.     

See also



13 September 2018

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