On 23 June 2022, SEC adopted amendments to require certain documents filed by IAs, institutional investment managers, other entities be filed/submitted electronically. Commission published fact sheet; chair Gensler issued remarks, said in a digital age, it is important for filers to have easy online methods to submit information to the SEC. Amendments are effective in…
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About: Anna Monteiro
Recent Posts by Anna Monteiro
France – AMF Updates Short Selling Regulations Webpage
On 21 June 2022, FR AMF published an updated version of their webpage, now titled Short Selling Regulations (VAD) setting out details of the provisions and obligations. It confirms that the provisions under the regulations are for a transparency regime for short selling, as well as strengthened location requirements for securities sold short. In addition…
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21 June 2022 – France AMF Fines for Major Shareholding Reporting Failure
France AMF Fines for Late Major Shareholding Disclosure
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Vietnam – SEC Derivative Securities Market
On 17 June 2022, VIE VSD issued update on the contents of decision 61/QD-VSD, specifically regarding regulations on clearing and settlement of derivative transactions. Clearing members are entitled to withdraw escrow assets if certain conditions are met. Such as when the rate of use of escrow assets after withdrawal is below the threshold. As well…
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20 June 2002: Germany BaFin Fines for Voting Rights Breach
Germany BaFin Fines Fine CEWE Stiftung & Co. €600,000 for Voting Rights Breach
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Germany – BaFin Voting Rights Disclosure Fine
On 20 June 2022, GE BaFin fined CEWE Stiftung & Co. €600,000 for breach. Ge BaFin announced CEWE Stiftung and Co. €600,000 fine, imposed on 1 June 2022. Company did not publish the total number of voting rights within the required time. Breached section 41(2) in conjunction with section 1 of German securities trading act.…
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