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
- 20 April 2026 – Netherlands Fines Arrowstreet for Short Selling Reporting Failures
- 20 April 2026 – U.S. FINRA Fines for Failure to Comply with Short Selling Regulations
- 10 April 2026 – Sweden Fines for Late Major Shareholding Disclosure
- 26 March 2026 – Namibia CRAN Rejects Starlink Satellite Application
- 24 March 2026 – S Korea Fines for not Disclosing Major Shareholding Change
- 16 March 2026 – Australia ASIC Fines Macquarie for Misreporting Short Selling
- 10 March 2026 – Germany BaFin Fines For Failing to Submit Voting Rights Notifications
- 27 February 2026 – India SEBI Fines for Failure to Disclose Shareholding in Sensitive Industries
- 6 February 2026 – UAE FSA Fines for Failure to Notify Change of Shareholding/Control
- 5 January 2026 – India SEBI Fines for Failure to Disclose Major Shareholding
- 17 December 2025 – Norway Fines for Failure to Report Major Shareholding
- 12 December 2025 – Norway Fines for Late and Incomplete Substantial Shareholding Report
- 30 November 2025 – Sweden Fines for Failure to Report Breach of Short Selling Threshold
- 23 November 2025 – India SEBI Fines for FPI in Sensitive Industries
- 7 November 2025 – Sweden Fines for Late Shareholding Disclosure
- 28 October 2025 – Sweden Fines for Failure to Report
- 25 October 2025 – India SEBI Fines for Substantial Shareholding Failure
- 22 October 2025 – India SEBI Fines for LODR Regulation Failure
- 20 October 2025 – Spain Fines for Failure to Reporting Shareholding in Sensitive Industries
- 15 October 2025 – Germany BaFin Fines for Failure to Report Voting Rights
- 14 October 2025 – India SEBI Fines for Breach of Substantial Shareholding Regime
- 30 September 2025 – US Fines for Coordinated Effort for Major Shareholding
- 17 September 2025 – India SEBI Substantial Shareholding Reporting Failures
- 15 September 2025 – S Korea Fines 5 for Short Selling Reporting Failures
- 1 September 2025 – New Zealand Fines for FDI in Sensitive Land
- 1 September 2025 – New Zealand Fines for FDI in Sensitive Land
- 1 September 2025 – New Zealand Fines for Sensitive Industries Breach of Overseas Investment Act
- 1 September 2025 – New Zealand Fines for Breach of Overseas Investment Act
- 1 September 2025- New Zealand Regulator Fines for Sensitive Industries Reporting Failure
- 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
