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Tag Archives: Major Shareholding Disclosures

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SEC Propose Amendments to Schedule 13D and G Reporting

SEC Propose Amendments to Schedule 13D & G Reporting

Regulatory Insights, Shareholder DisclosuresBy Trevor Dempster11 February 2022

SEC Propose Amendments to Schedule 13D & G Reporting On the 10th February 2022, the Securities and Exchange Commission (SEC) announced proposals amending the rules governing beneficial ownership reporting under…

Funds-Axis Regulatory Round-up: September 2020

Regulatory Round-up: September 2020

Regulatory Round-upsBy Trevor Dempster7 October 2020

The big month of liquidity finally arrived where we saw a number of liquidity developments come to fruition at the end of the month, including: ESMA’s new guidelines on liquidity…

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