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 June 2020: Sweden FI Fines for Late Transaction Reporting
- 17 June 2020: Sweden FI Fines for Late Substantial Shareholding Disclsoure
- 12 June 2020: Sweden FI Fines for Incorrect Disclsoure
- 11 June 2020: Sweden FI Fines Mackay Shields for Late Short Selling Reporting
- 11 June 2020: Hong Kong SFC Breach of Takeovers Code
- 10 June 2020: Sweden FI Fines for Late Short Selling Reporting
- 9 June 2020: Germany BaFin Orders Filings for Major Shareholding Disclosures
- 8 June 2020: Sweden FI Fines Cambridge Global for Late Major Shareholding Disclosures
- 4 June 2020: Nasdaq Nordic Fines Hitech for Takeover Rules
- 3 June 2020: Sweden FI Fines for Failure to Disclose
- 3 June 2020: Belgium FSMA Late Reported Transactions
- 1 June 2020: Sweden FI Fines SEK2.4m for Late Shares Transparency
- 1 June 2020: Sweden FI Fines SEK2.4m for Late Transparency Reporting
- 1 June 2020: Sweden FI for Late Shares Transaction Reporting
- 1 June 2020: Sweden FI fined Neongelb Invest for Late Substantial Shareholding Disclosure
- 28 May 2020: Sweden FI for Late Transaction Reporting
- 13 May 2020: Sweden FI Fines Cheyne Capital for Late Short Selling Reporting
- 12 May 2020: Sweden FI Fines for Failure to Report Falling Below Short Selling Threshold
- 11 May 2020: Sweden FI Fines for Late Short Selling Reporting
- 23 April 2020: Sweden FI Fines Armistice Capital for Late Substantial Shareholding Disclosure
- 21 April 2020: Sweden FI Fines for Late Short Selling Reporting
- 21 April 2020: Germany BaFin Fines Blackrock for Late Disclosure
- 20 April 2020: Sweden FI Fines for Late Short Selling Reporting
- 20 April 2020: Sweden FI Fines for Late Shares Transactions Reporting
- 20 April 2020: Sweden FI Fines Investors for Late Substantial Shareholding Disclosure
- 17 April 2020: Sweden Fines for Late Short Selling Reporting
- 8 April 2020: BaFin Fines #1 Investment Management Firm for Late Major Shareholding Disclosure
- 7 April 2020: Sweden FI Fines for Late Shareholding Disclosure
- 7 April 2020: Sweden FI Fines for Late Shareholding Disclosure
- 2 April 2020: Sweden FI Fines for Late Reporting of Subscription Rights
- 2 April 2020: Sweden FI Fines for Late and Incorrect Transactions Notification
