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
- 3 July 2024 – S Korea FSC Fines 2 for Breaches of Short Selling Regulations
- 12 June 2024 – Norway FI Fines for Illegal Short Selling
- 11 June 2024 – U.S. SEC Fines for Misleading Disclosures Related to Short Selling
- 6 June 2024 – Japan FSA Fines for Late Substantial Shareholding Filing
- 6 June 2024 – Greece HCMC Fines for Late Substantial Shareholding Report
- 20 May 2024 – U.S. SEC Fines for Illegal Short Selling
- 19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
- 19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
- 19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
- 19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
- 5 April 2024 – Luxembourg CSSF Fines for Failure to Report Sensitive Industries Shareholdings
- 28 March 2024 – Australia ASIC Criminally Charges for Substantial Shareholding Violations
- 28 March 2024 – Sweden FI Fines for Naked Short Selling
- 27 March 2024 – India SEBI Fines for Late Major Shareholding Reporting
- 22 March 2024 – Austria FMA Fines for Major Shareholding Reporting Failure
- 21 March 2024 – India SEBI Fines for Major Shareholding Reporting Failure
- 14 March 2024 – U.S. SEC Fines for Naked Short Selling
- 13 March 2024 – India SEBI Fines for Violation of Takeover Rule
- 12 March 2024 – Austria FMA Fines for Failure to Report Substantial Shareholdings
- 10 March 2024 – Turkey CMB Fines for Failure to Report Substantial Shareholding
- 8 March 2024 – Turkey CMB Fines for Short Selling Violation
- 7 March 2024 – Turkey Fines for Short Selling Violation
- 7 March 2024 – Turkey CMB Fines for Short Selling Failure
- 4 March 2024 – Turkey CMB Fines for Substantial Shareholding Violation
- 3 March 2024 – Turkey CMB Fines for Short Selling Violation
- 1 March 2024 – U.S. SEC Fines for Major Shareholding Reporting Failure
- 21 February 2024 – U.S. SEC Fines for Short Selling Violations
- 27 December 2023 – France AMF Failure to Disclose Major Shareholding
- 24 December 2023 – S Korea FSC Fines for Naked Short Selling
- 21 December 2023 – Norway FSA Fines for Short Selling Violations
- 7 November 2023 – Hong Kong SFC Issues Charges for Illegal Short Selling