Understanding Singapore’s Significant Investments Review Act
Post by Michael Chen, Head of Partnerships Understanding Singapore’s Significant Investments Review Act These ownership and control provisions over a handful of designated entities apply to all holders of the designated entities and they are required to abide by these regulations. The Significant Investments Review Act (SIRA) in Singapore has been effective from March 28, 2024, […]
U.S. SEC File Charges Against Firms For Not Filing Shareholding Disclosure Reports
Post by Michael Chen, Head of Partnerships U.S. SEC File Charges Against Firms For Not Filing Shareholding Disclosure Reports The U.S. Securities and Exchange Commission (SEC) has taken a significant step toward greater transparency by issuing fines against 11 institutional investment managers for failing to file required Forms 13F. These forms are used to disclose shareholdings […]
SEC Short Sale Disclosure Rule, More To It Than Meets The Eye
Post by Michael Chen, Head of Partnerships SEC Short Sale Disclosure Rule, More To It Than Meets The Eye SEC adopted Short Sell Disclosure Rule 13f-2 on October 13, 2023 under the Exchange Act and it will go live on 2 January 2025. The purpose for the rule aims to increase transparency around short selling […]
South Korea Short Selling – FSC Announces Comprehensive Short Selling Reforms
Post by Michael Chen, Head of Partnerships South Korea Short Selling – FSC Announces Comprehensive Short Selling Reforms The Financial Services Commission (FSC) of South Korea has unveiled a series of reforms aimed at tightening regulations around short selling. These changes are designed to enhance market transparency, protect investors, and curb illegal activities. Here’s a detailed […]
Sanctions – Stay Compliant or Pay the Price
Post by Michael Chen, Head of Business Development and Partnerships Sanctions – Stay Compliant or Pay the Price In recent months, the regulatory landscape witnessed a significant tightening of compliance measures across various jurisdictions. This shift is marked by a series of hefty fines imposed on entities for failing to adhere to disclosure and reporting obligations. As […]