Solutions Atlantic today announced plans to integrate its Regulatory Reporting System (RRS) with the Eagle PACE data hub, data warehouse and portfolio management system from Eagle Investment Systems. View Full Press Release
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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 28 October 2022 – India SEBI Fines for Takeover Reporting Failures
- 12 October 2022 – Hong Kong SFC Fines for Short Selling Disclosure Failures
- 6 October 2022 – U.S. FINRA Fines for Inaccurate Short Selling Disclosures
- 3 October 2022 – U.S. FINRA Fines For Violations of Naked Short Selling
- 18 August 2022 – U.S. FINRA Censures and Fines for Short Selling
- 18 August 2022 – Hong Kong SFC Fines for Illegal Short Selling
- 12 August 2022 – US SEC Fines for Naked Short Selling
- 11 August 2022 – Poland FSA Fines for Substantial Shareholding Disclosure Failures
- 9 August 2022 – Poland FSA Fines $1M for Failure to Report Substantial Shareholdings
- 2 August 2022 – Germany BaFin Fines $5M for Substantial Shareholding Failure
- 22 July 2022 – Iceland FSA Fines for Substantial Shareholding Disclosure Failure
- 27 July 2022 – India SEBI Fines for Takeover Reporting Failure
- 18 July 2022 – India SEBI Fines for Takeover Reporting Failure
- 14 July 2022 – India SEBI Fines for Substantial Shareholding Disclosure
- 12 July 2022 – France AMF Fines $1.3M for Takeover Reporting Failure
- 6 September 2022 – U.S. SEC Fines for Failure to Report Schedule 13D
- 21 June 2022 – France AMF Fines for Major Shareholding Reporting Failure
- 20 June 2002: Germany BaFin Fines for Voting Rights Breach
- 14 June 2022: U.S. – SEC Fines for Short Selling Violations
- 29 March 2022: Sweden FI Fines Voleon Capital for Late Short Selling Disclosure
- 23 March 2022: Sweden FI Fines Lazard for Late Substantial Shareholding Disclosure
- 26 January 2022: Sweden FSA Fines Armistice Capital for Late Major Shareholding Disclosure
- 1 December 2021: Norway FSA Fines CPPIB for Late Short Selling Report
- 22 November 2021: Germany BaFin Fines Major Fund Company for Late Substantial Shareholding
- 4 November 2021: Austria FMA Sanctions for Late Substantial Shareholding Disclosure
- 28 October 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
- 27 September 2021: Sweden – FI Fines Natural Person for Late Substantial Shareholding Disclosure
- 16 September 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
- 8 September 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
- 1 September 2021: Sweden – FI Fines for Late Short Selling Disclosure
- 31 August 2021: U.S. – ICE FUS Fine Aspire for Position Limits
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