On 20 November 2024, AST ASIC said Mr Hatch was convicted and sentenced for failing to disclose his substantial shareholding in Copper Strike Limited and providing false information. He was sentenced to six months imprisonment, released immediately upon paying a AUD 2,000 fine; conditional release requires good behavior for 12 months. Pleaded guilty to authorizing…
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India- SEBI Research Analyst Reporting Re:Shareholding
On 25 October 2024, IND SEBI issued a circular on the periodic reporting format for research analysts and proxy advisers as per the Research analysts regulations, 2014. Recognized BSE Limited as Research analyst administration and supervisory body. RAs and PAs must submit comprehensive reports covering organizational structure and compliance framework and the details of all…
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India – SEBI on Monitoring Substantial Shareholding
On 14 October 2024, IND SEBI wrote re market infrastructure institutions. IND SEBI issued circular regarding monitoring shareholding of market infrastructure institutions (MIIs), includes stock exchanges, depositories, and clearing corporations. Follows IND SEBI October 2023 issued master circular for stock exchanges. Also follows IND SEBI October 2023 issued new master circular for depositories. Follows IND…
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U.S. – SEC 13G New Substantial Shareholding Reporting Effective
On 30 September 2024, the SEC's new reporting regime for SEC Schedule 13G becomes effective. Filings Deadlines: QIIs & Exempt Investors: 45 days after calendar quarter in which substantial shareholding exceeds 5%. Passive Investors: Within 5 business days after acquiring substantial shareholding of more than 5% [Rule 13d-1(c)]. Amendments: All 13G Filers: Within 5 business…
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29 September 2024 – Sweden FI Fines for Late Substantial Shareholding in Bonds
Sweden Fines for Late Substantial Shareholding in Bonds
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27 September 2024 – Austria FMA Fines for Late Substantial Shareholding Report
Austria Fines for Late Substantial Shareholding Report
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