Austria – FMA Fines for Failures in Substantial Shareholding Reporting
Austria Fines for Substantial Shareholding Reporting Failure
China – CSRC Fines for Substantial Shareholding Reporting Failure
CSRC Fines for Substantial Shareholding Reporting Failure
Australia – Platinum AM Refuses Takeover Bid
Bloomberg reports that Sydney-based funds manager Platinum Asset Management has refused a takeover proposal from hedge fund Regal Partners Ltd. bid undervalued company at $359m offering from Regal Platinum’s board unanimously concluded that the proposed deal was “not in the best interest of Platinum shareholders,” at least “in its current form.” Platinum has struggled with outflows […]
U.S. – SEC Settles Short Selling Case Against HK IA
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 […]
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
25 September 2024 – Austria FMA Fines for Late Major Shareholding Reporting
Austria Fines for Late Major Shareholding Reporting