On 5 June 2025, SIFMA issued letter urging short selling reporting extension. SIFMA issued letter to the SEC to request an extension of the compliance date for certain obligations of broker-dealers reporting to the Consolidated audit trail (CAT). Follows February 2025 SEC temporary exemption from short selling report. Document dated 5 June 2025, received from…
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Indonesia – Electronic Submission of Substantial Shareholding Reports
On 5 June 2025, IDN FSA issued circular regarding the electronic submission of substantial shareholding reports and share pledging activity reports for public companies. Establishes electronic system requirements for submission, publication of substantial shareholding ownership reports as well as share pledging activity reports for public companies. The circular covers mandatory electronic reporting parties, reporting requirements…
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Germany – BaFin Sets Fine for Substantial Shareholding , Voting Rights Notification Failure
On 13 June 2025, GE BaFin issued €600,000 voting right notification fine. GE BaFin announced it had imposed two fines totalling €600,000 on Innovestica Holdings Inc., in a decision dated 6 June 2024, for voting rights notification violations. The obligation to notify voting rights serves to promotes capital market transparency and strengthens investor confidence in…
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13 June 2025 – Germany BaFin Fines for Late Substantial Shareholding Notifications
Germany BaFin Fines for Late Substantial Shareholding Reporting
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10 June 2025 – France AMF Fines for Late Substantial Shareholding
France AMF Fines for Late Substantial Shareholding Reporting
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Hong Kong – SFC Substantial Shareholding Alert
On 14 May 2025, the SFC updated its substantial shareholding tables to include the following: substantial shareholding in Ocean One Holding Ltd. (Stock Code: 08476)
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