Austria FMA Fines for Failure to Report Substantial Shareholdings
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UAE – DC Securities Lending, Borrowing / Takeovers
On 8 March 2024, UAE DC issued securities lending and borrowing rules (takeovers) version 2.2. The rules cover general provisions, lending agents, obligations of lending agents, lender and borrower representatives, securities lending and borrowing (takeovers) agreements. As well as collateral, central clearing procedure, fees and commission and penalties.
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U.S. – AIMA Challenges SEC Short Sales Rule
On 6 March 2024, AIMA filed amicus brief in case challenging SEC rules. AIMA jointly with National Association of Private Fund Managers (NAPFM) and MFA filed brief challenging the SEC's securities lending and short position reporting rules. Follows 3 November 2023 SEC securities lending final rule and SEC short position final rule both became effective…
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10 March 2024 – Turkey CMB Fines for Failure to Report Substantial Shareholding
Turkey CMB Fines for Failure to Report Substantial Shareholdings
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Thailand – SET Afternoon Trading Disclosure
On 5 March 2024, Thai SET issued rules on period for disclosing information. Thai SET revised time for disclosing information, following extended afternoon trading. Revisions Period for disclosure during intermission will be 12.30-13.00, instead of 12.30-13.30. This will enable investors to receive sufficient information for their decision making. A listed company shall disclose information without…
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8 March 2024 – Turkey CMB Fines for Short Selling Violation
Turkey CMB Fines for Short Selling Violation
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