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).