Sanctions, requests for investigation and cases of securities market inspections

FIN-FSA´s requests for police investigation and administrative sanctions 2010–30.6.2020 

2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 1.1.-30.6.2020
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 -
Administrative fine 1 5 14 6 2 19 2 3 - - -
Penalty payment - - - - 1 - 3 4 3 5 1

In the period from 1 January 2020 to 30 June 2020, the FIN-FSA made six requests for police investigation and imposed one penalty payment.

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 2010–30.6.2020

2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 1.1.-30.6.2020
Total number of cases  70 80 85 100 83 127* 107 96 108 151 92
Abuse of inside information 27 34 23 47 36 57* 47 59 69 83 67
Market manipulation 11 23 35 28 23 40 31 24 24 51 20
Disclosure obligation: periodic, ongoing, delayed disclosure, disclosure of major holdings, takeover bid, and primary markets 25 16 23 17 18 24 24 11 13 15 4
Other 7 7 4 8 6 6 5 2 2 2 1

* Figures have been corrected on 10 October 2016.

The table below 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 the period from 1 January 2020 to 30 June 2020 there were 92 such cases.

In the corresponding term, the FIN-FSA received 76 STORs from the markets on suspicious transactions or orders, some of which continue to be inspected in 2020.

The FIN-FSA sent one request for judicial assistance to foreign securities markets authorities concerning the supervision of securities markets in the period from 1 January 2020 to 30 June 2020. Respectively, the FIN-FSA didn't receive any requests for judicial assistance.