25 September 2024 – Austria FMA Fines for Late Major Shareholding Reporting
Austria Fines for Late Major Shareholding Reporting
U.S. – SEC Fines HK Based Trading Firm for Illegal Short Selling
U.S. SEC Fines HK Based Trading Firm for Illegal Short Selling
U.S. – SEC Fines 23 for Major Shareholding Reporting Failures
U.S. SEC Fines 23 for Major Shareholding Reporting Failures
Austria – FMA Fines for Late Shareholding Disclosure
Austria Fines for Late Substantial Shareholding Disclosure
Hong Kong -SFC Takeover Table Updated
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.
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 […]