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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About: Anna Monteiro
Recent Posts by Anna Monteiro
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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U.S. – SEC Fines HK Based Trading Firm for Illegal Short Selling
U.S. SEC Fines HK Based Trading Firm for Illegal Short Selling
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U.S. – SEC Fines 23 for Major Shareholding Reporting Failures
U.S. SEC Fines 23 for Major Shareholding Reporting Failures
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Austria – FMA Fines for Late Shareholding Disclosure
Austria Fines for Late Substantial Shareholding Disclosure
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