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.
Read more
About: Anna Monteiro
Recent Posts by Anna Monteiro
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…
Read more
23 September 2024 – Turkey CMB Fines for Breach of Short Selling Ban
Turkey CMB Fines 13 Entities for Breach of Short Selling Ban
Read more
23 September 2024 – U.S. SEC Fines for Breach of Short Selling Rules
U.S. Fines for Breach of Short Selling Rules
Read more
U.S. SEC – Fines For Illegal Short Selling
On 19 September 2024, SEC settled charges re Rule 105 short selling violations. SEC settled with Gates Capital Management, Inc. re Rule 105 short selling violations. Bought stock in securities offering for fund clients after shorting same for fund clients. Alleged Violations 30 August through 1 September 2023, Gates Capital sold short 90k ROL shares…
Read more
20 September 2024 – U.S. SEC Seeks to Fine Musk for Failure to Report Major Shareholding
U.S. Seeks to Fine Elon Musk for Failure to Report Major Shareholding
Read more
Recent Comments by Anna Monteiro
No comments by Anna Monteiro yet.