On 30 November 2023, Solutions Atlantic released system and rule updates to RRS to meet the updated reporting obligations for US SEC Schedule 13D and 13G filers and the new short selling rule 13f-2.Read the full article.
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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 20 October 2023 – U.S. SEC Fines for Short Selling Violations
- 27 September 2023 – U.S. SEC Fines Six for Major Shareholding Reporting Failures
- 25 September 2023 – India SEBI Fines for Takeover Reporting Failure
- 22 September 2023 – U.S. SEC Fines for Improper Short Selling
- 15 September 2023 – China CSRC Fines for Major Shareholding Reporting Failures
- 13 September 2023 – U.S. SEC Fines for Failure to Report Major Shareholding
- 11 September 2023 – Norway FSA Fines for Short Selling
- 24 August 2023 – Spain CB Fines for Substantial Shareholding Reporting Failures
- 10 August 2023 – Germany BaFin Fines €600k for Substantial Shareholding Reporting Failures.
- 27 July 2023 – Austria FMA Fines for Substantial Shareholding Disclosure Failure
- 23 July 2023 – U.S. SEC Fines $1M for 13G Reporting Failure
- 14 July 2023 – S Korea FSC Fines for Illegal Short Selling
- 11 July 2023 – U.S. FINRA – Fines for Failure to Accurately Report Short Selling
- 30 June 2023 – Poland KNF Fines 5 for Multiple Substantial Shareholding Reporting Failures
- 22 June 2023 – Sweden FI Fines for Failure to Report Short Selling
- 12 June 2023 – U.S. SEC Fines for Naked Short Selling Scheme
- 26 May 2023 – Australia ASIC Fines for Failure to Report Major Shareholding
- 22 May 2023 – Australia ASIC Fines for Naked Short Selling
- 18 May 2023 – Kuwait CMA Fines for Failure to Notify Change of Ownership
- 16 May 2023 – Sweden FI Fines for Substantial Shareholding Reporting Failure
- 8 May 2023 – Norway FI Fines 6 for Illegal Short Selling
- 20 April 2023 – Germany BaFin Fines for Failure to Report Substantial Shareholding
- 17 April 2023 – India SEBI Fines for Failure to Report Substantial Shareholding
- 11 April 2023 – Italy CONSOB Fines for Failure to Report Substantial Shareholding
- 29 March 2023 – Netherlands Fines ~$1.5M for Failure to Report Substantial Shareholding
- 8 March 2023 – S Korea -FSC Fines ~$4M for Naked Short Selling
- 28 February 2023 – India SEBI Fines for Failure to Disclose Substantial Shareholding
- 17 February 2023 – U.S. SEC Fines for Short Selling
- 17 February 2023 – U.S. SEC Fines for Short Selling
- 10 January 2023 – India SEBI Fines for Late Substantial Shareholding Disclosure
- 28 December 2022 – Germany BaFin Fines for Late Substantial Shareholding Disclosure
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