On 4 July 2025, JPN FSA issued 350 public comments received and its responses wrt its major shareholding and takeover regimes. The FSA has published notice of the amendments to the major shareholdings and takeovers rules following a period of consultation. Re the tender offer (takeover) system, JPN FSA made further revisions to exclude share…
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20 November 2024 – Australia ASIC Fines for Failure to Disclose Major Shareholdings
Australia ASIC Fines for Failure to Disclose Major Shareholdings
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25 September 2024 – U.S. SEC Fines 23 for Late Major Shareholding and Insider Transaction Reports
U.S. SEC Fines 23 for Late Major Shareholding Reports - 13D, 13G
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25 September 2024 – Austria FMA Fines for Late Major Shareholding Reporting
Austria Fines for Late Major Shareholding Reporting
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U.S. – SEC Fines 23 for Major Shareholding Reporting Failures
U.S. SEC Fines 23 for Major Shareholding Reporting Failures
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U.S. – SEC Fines 11 Investment Managers for Major Shareholding Reporting Failures
On 17 September 2024, SEC charged 11 investment managers with major shareholding filing failures. SEC charges 11 investment managers with failing to report major shareholding. Two of the firms were also charged with failing to report large trader transactions. Involved Parties Orders filed against Ashton Thomas Private Wealth, LLC, Azzad Asset Management, Inc., Bulltick Wealth…
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