Undisclosed control blocks enforcement actions

This library records 119 enforcement actions tagged undisclosed control blocks. An undisclosed control block is a controlling shareholding held through nominees and offshore entities so that no individual holding crosses a reporting threshold, leaving the market with a false picture of who controls the company.

Actions are listed newest first. Each row links to a case page carrying the regulator's own release and, where one was published, the complaint. For how this technique works and what statute it engages, read the undisclosed control blocks technique page.

Actions

19

Total penalties

$1.6m

Median penalty

$805k

Largest

$1.6m

Criminal parallel

0%