On 23 September 2024, SEC reported settlement re public offering, short sale. SEC reported settled charges against Centerline Investment Management Limited, a Hong Kong, China-based investment adviser, for violating an SEC short selling trade rule. Purchased stock in public offering of securities for advisory client after effecting short selling in same stock for advisory client…
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25 September 2024 – U.S. SEC Fines 23 for Late Major Shareholding and Insider Transaction Reports
U.S. SEC Fines 23 for Late Major Shareholding Reports - 13D, 13G
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25 September 2024 – Austria FMA Fines for Late Major Shareholding Reporting
Austria Fines for Late Major Shareholding Reporting
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Hong Kong -SFC Takeover Table Updated
On 25 September, the SFC updated its Takeover table to reflect the closure of offer period for Hang Pin Living Technology Company Limited (stock code: 1682). Effective Date: Takeover offer period closed on 24 September 2024.
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U.S. – SEC Fines 11 Investment Managers for Major Shareholding Reporting Failures
On 17 September 2024, SEC charged 11 investment managers with major shareholding filing failures. SEC charges 11 investment managers with failing to report major shareholding. Two of the firms were also charged with failing to report large trader transactions. Involved Parties Orders filed against Ashton Thomas Private Wealth, LLC, Azzad Asset Management, Inc., Bulltick Wealth…
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23 September 2024 – Turkey CMB Fines for Breach of Short Selling Ban
Turkey CMB Fines 13 Entities for Breach of Short Selling Ban
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