U.S. – SEC Fines 23 for Major Shareholding Reporting Failures
U.S. SEC Fines 23 for Major Shareholding Reporting Failures
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 […]
20 September 2024 – U.S. SEC Seeks to Fine Musk for Failure to Report Major Shareholding
U.S. Seeks to Fine Elon Musk for Failure to Report Major Shareholding
17 September 2024 – U.S. SEC Failure to File Form 13F for Major Shareholding
U.S. Failure to File Form 13F for Major Shareholding
30 August 2024 – India SEBI Fines for Failure to Disclose Major Shareholding
India Fines for Failure to Disclose Major Shareholding
29 August 2024 – Germany BaFin Fines for Late Major Shareholding Reports
Germany BaFin Fines for Failure to File Major Shareholding Reports