3 March 2024 – Turkey CMB Fines for Short Selling Violation
Turkey CMB Fines for Short Selling Failure
1 March 2024 – U.S. SEC Fines for Major Shareholding Reporting Failure
U.S. SEC Fines for Major Shareholding (SEC 13D) Reporting Failure
Switzerland – FinMIA Substantial Shareholding Portal Goes Live
On 4 March 2024, the new OLSdigital online platform for investors (and issuers) to submit their substantial shareholding disclosure notifications under FinMIA goes live. Background substantial shareholding disclosures to the Disclosure Office of SER and to the issuer OLSdigital filing platform can be found here
Poland – FSA Substantial Shareholding / Short Selling Forms
On 1 March 2024, substantial shareholding and short selling forms must be submitted to the Poland FSA in electronic format. Background: August 2023, the FSA alerted the move to electronic forms for substantial shareholding and short selling Links to electronic forms for substantial shareholding and short selling Link to Substantial Shareholding User Manual
S Korea – FSS May Give Guidance on Short Selling Policies in March
On 27 February 2024, the head of South Korea’s FSS says it may give a clearer picture on follow-up policies regarding the short selling ban sometime in March. FSS implemented at total ban on short selling in November 2023 through June 2024. Recently, Korean prosecutors investigating illegal short selling allegations against foreign investment banks raided […]
U.S. – Substantial Shareholdings in Disney Lays out Tech Plan
On 26 February 2024, Blackwells Capital, with substantial shareholdings in the Walt Disney Company, released an excerpt from its upcoming investor presentation detailing it’s technology vision for the company. Jason Aintabi, Chief Investment Officer said: “Disney should be dominating in the fields of spatial computing and AI. Few companies have the potential of Disney to […]