18/06/2019 07:33:49

Decision by Nasdaq Stockholm’s Disciplinary Committee (7/19)

The Disciplinary Committee of Nasdaq Stockholm has found that Clinical Laserthermia Systems AB (”CLS” or the “Company”) has breached the regulations of Nasdaq First North (the “Rulebook”) and has therefore ordered CLS to pay a fine of 15 annual fees, corresponding to an amount of SEK 2,194,286.

The Disciplinary Committee finds that CLS has breached item 2.1 (c) and item 2.2.2 in combination with item 3.2 (a) (iv), and also item 4.1, of the Rulebook by disclosing incorrect information about the form of employment of the Company’s CEO to the Exchange and the market in conjunction with the Company’s listing application and also thereafter. According to the Disciplinary Committee, the Company’s actions have risked damaging the public confidence in the Exchange, Nasdaq First North and the securities market.

Given the circumstances of the case and after careful consideration, the Disciplinary Committee finds that the sanction for the Company’s abovementioned breaches should be a fine rather than delisting. The fine should be 15 annual fees.

A detailed description of the matter and the Disciplinary Committee’s decision is available at:

https://business.nasdaq.com/list/Rules-and-Regulations/european-surveillance/disciplinary-processes/decisions-and-sanctions/stockholm-2019.html

Please see the attached document for a Swedish version of the decision. An English version of the decision will be made available as soon as possible.

For further information about this exchange notice please contact Issuer Surveillance, telephone +46 8 405 60 00, or iss@nasdaq.com.

 

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