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SEC Fines for Short Selling Violations

On 14 June 2022, SEC charged Weiss IA firm with short selling violations. SEC reported that it charged Weiss Asset Management with short selling violations. IA firm agreed to pay about $ to settle charges it violated federal securities laws when it unlawfully purchased stocks in 7 public offerings after selling same stock short. Alleged…
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U.K. – TO Panel Takeover Code Changes

On 13 June 2022, UK TO Panel confirmed publication of the revised takeover code. Reflects amendments made by Instruments 2022/1 (limitation on length of service of Panel members), 2022/2 (miscellaneous code amendments), 2022/3 (document charges), and 2022/4 (removal of restriction on anonymous order book dealings). Consequential amendments made to practice statements 19, 20, 24, 28…
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Sweden – FI Publishes Aggregate Short Positions

On 9 June 2022, SWE FI started publication of aggregate short positions. SWE FI started continuous publication of aggregate short positions above 0.01%. Follows SWE FI December 2021 issued notice on disclosing short positions. Overview New summary in short selling register contains all outstanding short-term positions reported and are in accordance with SSR rules. All…
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Belgium – FEB Foreign Investments Screening

On 9 June 2022, BEL FEB announced screening mechanism has been agreed. BEL FEB announced screening mechanism for foreign investments has been agreed. After over 3 years of negotiations, federated entities and federal government finally agreed on draft cooperation agreement for mechanism to screen foreign investments. Follows EC May 2019 issued update on actions against…
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