Defendant Name:
Nationale-Nederlanden Powszechne Towarzystwo Emerytalne S.A.
Defendant Type:
Other
Document Reference:
34-101060
Document Details
Legal Case Name
In the Matter of Nationale-Nederlanden Powszechne Towarzystwo Emerytalne S.A.
Document Name
Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Document Date
17-Sep-2024
Document Format
Administrative Proceeding
Allegation Type
Issuer Reporting and Disclosure
Document Summary
On September 17, 2024, the SEC instituted settled cease-and-desist proceedings against Nationale-Nederlanden Powszechne Towarzystwo Emerytalne S.A., stating: "From at least December 2019 through the present, Respondent, a foreign investment adviser not registered with the Commission, had investment discretion over at least $100 million of reportable securities and was therefore obligated to file quarterly Forms 13F beginning by at least February 2020. However, Respondent failed to file Forms 13F until April 2024. From at least July 2013, Respondent met the large trader definition under Section 13(h) of the Exchange Act and Rule 13h-1 thereunder and was required to file an initial Form 13H and annual Forms 13H and amendments as appropriate thereafter. However, Respondent failed to file an initial Form 13H until April 2024."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Self Reporting to SEC
