Solutions Atlantic today announced plans to integrate its Regulatory Reporting System (RRS) with the Eagle PACE data hub, data warehouse and portfolio management system from Eagle Investment Systems. View Full Press Release
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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 22 June 2023 – Sweden FI Fines for Failure to Report Short Selling
- 12 June 2023 – U.S. SEC Fines for Naked Short Selling Scheme
- 26 May 2023 – Australia ASIC Fines for Failure to Report Major Shareholding
- 22 May 2023 – Australia ASIC Fines for Naked Short Selling
- 18 May 2023 – Kuwait CMA Fines for Failure to Notify Change of Ownership
- 16 May 2023 – Sweden FI Fines for Substantial Shareholding Reporting Failure
- 8 May 2023 – Norway FI Fines 6 for Illegal Short Selling
- 20 April 2023 – Germany BaFin Fines for Failure to Report Substantial Shareholding
- 17 April 2023 – India SEBI Fines for Failure to Report Substantial Shareholding
- 11 April 2023 – Italy CONSOB Fines for Failure to Report Substantial Shareholding
- 29 March 2023 – Netherlands Fines ~$1.5M for Failure to Report Substantial Shareholding
- 8 March 2023 – S Korea -FSC Fines ~$4M for Naked Short Selling
- 28 February 2023 – India SEBI Fines for Failure to Disclose Substantial Shareholding
- 17 February 2023 – U.S. SEC Fines for Short Selling
- 17 February 2023 – U.S. SEC Fines for Short Selling
- 10 January 2023 – India SEBI Fines for Late Substantial Shareholding Disclosure
- 28 December 2022 – Germany BaFin Fines for Late Substantial Shareholding Disclosure
- 21 December 2022 – India SEBI Fines for Failure to Disclose Substantial Shareholding
- 16 December 2022 – Sweden FSA Fines for Late Substantial Shareholding Disclosure
- 2 December 2022 – India SEBI Fines for Failure to Disclose Substantial Shareholding
- 30 November 2022 – India SEBI Fines for Failure to Disclose Substantial Shareholding and Takeover Breach
- 23 November 2022 – Finland FSA Fines for Late Short Selling Reporting
- 7 November 2022 – Germany BaFin Fines for Late Substantial Shareholding Disclosure
- 31 October 2022 – Germany BaFin Fines Union Service-Gesellschaft mbH for Late Substantial Shareholding
- 28 October 2022 – India SEBI Fines for Takeover Reporting Failures
- 12 October 2022 – Hong Kong SFC Fines for Short Selling Disclosure Failures
- 6 October 2022 – U.S. FINRA Fines for Inaccurate Short Selling Disclosures
- 3 October 2022 – U.S. FINRA Fines For Violations of Naked Short Selling
- 18 August 2022 – U.S. FINRA Censures and Fines for Short Selling
- 18 August 2022 – Hong Kong SFC Fines for Illegal Short Selling
- 12 August 2022 – US SEC Fines for Naked Short Selling