The Investment Company Institute held its annual Mutual Fund and Investment Company Conference March 17-20th in Palm Desert California. This conference is attended by more than 1000 professionals across the investment industry. Although exhibitors were not allowed, the ICI did provide the opportunity for solutions and service providers to promote their offerings through tote inserts. Solutions Atlantic took this opportunity to reach the many compliance and legal professionals in attendance that are responsible for monitoring and filing large and short position disclosures.
Solutions Atlantic Supports the ICI Mutual Fund Conference
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- Solutions Atlantic Supports the ICI Mutual Fund Conference
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 17 September 2025 – India SEBI Substantial Shareholding Reporting Failures
- 22 August 2025 – Poland KNF Fines for Failure to Notify of Substantial Shareholding
- 4 August 2025 – US SEC Issues Cease and Desist Order for Short Selling Failures
- 1 August 2025 – Austria FMA Fines for Late Substantial Shareholding Reporting
- 29 July 2025 – India SEBI Fines for Late Substantial Shareholding Reporting
- 29 July 2025 – Chile Fines for Disregard of Substantial Shareholding Rules
- 28 July 2025 – India SEBI Fines for Late Substantial Shareholding Reporting
- 23 July 2025 – China CSRC Fines for Breach of Substantial Shareholding Rules
- 17 July 2025 – Austria FMA Fines for Late Substantial Shareholding Notifications
- 11 July 2025 – India SEBI Fines for Late Substantial Shareholding Reporting
- 11 July 2025 – India SEBI Fines for Late Substantial Shareholding Reporting
- 11 July 2025 – Pakistan SEC fines for Late Substantial Shareholding Reporting
- 11 July 2025 – Pakistan SEC Issues Warning for Late Substantial Shareholding
- 4 July 2025 – Pakistan Issues Warning for Late Substantial Shareholding Reporting
- 13 June 2025 – Sweden Fines for Short Selling Reporting Failures
- 13 June 2025 – Germany BaFin Fines for Late Substantial Shareholding Notifications
- 10 June 2025 – France AMF Fines for Late Substantial Shareholding
- 14 May 2025 – India SEBI Fines for Substantial Shareholding Reporting Failures
- 14 May 2025 – ASIC Fines Breaches of Short Selling Regulations
- 9 May 2025 – Poland Fines for Failure to Report Substantial Shareholding
- 11 April 2025 – Denmark Fines for Late Substantial Shareholding Reporting
- 1 April 2025 – Norway Fines for Breach of Short Selling Regulations
- 27 March 2025 – Turkey Fines for Failure to Report Short Selling
- 24 March 2025 – Sweden Fines for Violations of Short Selling Rules
- 20 March 2025 – China Fines for Failure to Obey Lock-in Period Re: Substantial Shareholding
- 18 March 2025 – Sweden Fines for Failure to Comply with Short Selling Rules
- 11 March 2025 – India SEBI Fines 6 for Substantial Shareholding Reporting Failures
- 20 February 2025 – Poland Fines for Substantial Shareholding Reporting Failures
- 17 February 2025 – Sweden FI Fines For Late Short Selling Reporting
- 14 February 2025 – S Korea Fines for Short Selling Breaches
- 14 February – S Korea Fines for Short Selling Breaches
