Sanctions, requests for investigation and cases of securities market inspections
FIN-FSA´s requests for police investigation and administrative sanctions 2010–2020
2010 | 2011 | 2012 | 2013 | 2014 | 2015 | 2016 | 2017 | 2018 | 2019 | 2020 | |
Request for police investigation | 3 | 4 | 5 | 4 | 3 | 5 | 2 | 6 | 5 | 2 | 6 |
Public reprimand | 3 | 3 | 3 | - | - | 2 | - | - | - | - | - |
Public warning | - | - | 3 | 2 | 2 | - | 2 | 5 | 3 | 1 | 1 |
Administrative fine | 1 | 5 | 14 | 6 | 2 | 19 | 2 | 3 | - | - | 1 |
Penalty payment | - | - | - | - | 1 | - | 3 | 4 | 3 | 5 | 2 |
During 2020 FIN-FSA made six requests for police investigation, issued one public warning and imposed one administrative fine and two penalty payments.
FIN-FSA's administrative sanctions and supervisory measures are published here.
Supervision cases related to trading in securities markets and the disclosure obligation processed by the FIN-FSA in 2010–2020
2010 | 2011 | 2012 | 2013 | 2014 | 2015 | 2016 | 2017 | 2018 | 2019 | 2020 | |
Total number of cases | 70 | 80 | 85 | 100 | 83 | 127 | 104 | 95 | 108 | 150 | 155 |
Abuse of inside information | 27 | 34 | 23 | 47 | 36 | 57 | 48 | 58 | 71 | 83 | 105 |
Market manipulation | 11 | 23 | 35 | 28 | 23 | 40 | 31 | 24 | 23 | 50 | 39 |
Disclosure obligation: periodic, ongoing, delayed disclosure, disclosure of major holdings, takeover bid, and primary markets | 25 | 16 | 23 | 17 | 18 | 24 | 23 | 12 | 12 | 15 | 9 |
Other | 7 | 7 | 4 | 8 | 6 | 6 | 2 | 1 | 2 | 2 | 2 |
Figures 2016–2019 have been corrected on 17 February 2021.
The table above displays supervision cases related to trading in securities markets and the disclosure obligation inspected by the FIN-FSA and concluded during the year concerned. In 2020 there were 155 such cases.
In the corresponding term, the FIN-FSA received 202 STORs from the markets on suspicious transactions or orders, some of which continue to be inspected in 2021.
During 2020 the FIN-FSA sent one request for judicial assistance to foreign securities markets authorities concerning the supervision of securities markets. Respectively, the FIN-FSA received two requests for judicial assistance.