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Anna Monteiro

SEC Adopts Short Selling Reporting Rule 13f-2

In a vote of 3-2, the SEC adopted new rule 13f-2 and related Form SHO to provide greater transparency of short sale data from which is in response to Section 929X of the Dodd-Frank Wall Street Reform...

17 Oct 2023
Financial Services Regulation
Anna Monteiro

Stepping Closer to a SEC Decision on 13D/G

On 22 June, the SEC’s Investor Advisory Committee (IAC) held a public meeting (13D/G ~3:09 mark) which included a discussion on the proposed amendments to the 13D/G filings. We’re all familiar with t...

11 Jul 2023
Financial Services Regulation
Anna Monteiro

Know Before You Go...Investing in Japan

By all reports, investment money is flowing into Japan. With the Nikkei up over 30% this year, it appears that Japan is on the other side of its “lost decade”. The Nikkei has not been this high since ...

27 Jun 2023
RegTech
Anna Monteiro

First Half Catch-up on Foreign Direct Investment

Most regulatory activity for foreign direct investment in this first half of 2023 has been focused on issuing consultations for proposed changes to existing laws. Several countries issuing consultatio...

06 Jun 2023
Financial Services Regulation
Anna Monteiro

In This Story, Short Sellers Are Not The Bad Guys

There’s been a deluge of press about the collapse of Adani Group after a report from Hindenburg Research which accuses Adani Group of: stock manipulation, improper use of offshore tax havens to hide t...

15 Feb 2023
Financial Services Regulation
Anna Monteiro

A Busy Fourth Quarter for Foreign Direct Investment

It was a busy fourth quarter for regulations concerning foreign direct investment. It seems that not all were watching the World Cup. Several jurisdictions issued consultations concerning qualified ho...

09 Jan 2023
Financial Services Regulation

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