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Tag Archives: Securities

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Shorter Schedule 13D Reporting Deadlines may be on the horizon

Shorter Schedule 13D Reporting Deadlines may be on the horizon

Regulatory Insights, Shareholder DisclosuresBy Trevor Dempster7 July 2021

The Chairman of the Securities and Exchange Commission (SEC) recently gave a speech at London City Week. During the speech, he discussed three key areas on the reform agenda at the SEC. One of those areas was on transparency, and in particular, the area of beneficial ownership and Schedule 13D reporting.

Refresher Series: Hong Kong Short Selling Reporting

Refresher Series: Hong Kong Short Selling Reporting

Regulatory Insights, Shareholder DisclosuresBy Trevor Dempster19 April 2021

Investment Managers need to ensure they have in place appropriate systems and procedures to ensure they meet the Hong Kong Short Selling Reporting obligations of the funds that they manage.

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