China CSRC Fines for Major Shareholding Reporting Failures
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About: Anna Monteiro
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Taiwan – FSC Cross Shareholding Rules
On 13 September 2023, TAI FSC regulated cross shareholding by financial firms. TAI FSC, TAI Justice stipulated rules on article 28 of Securities and exchange act. TAI FSC also published letter to abolish relevant previous order as well as letter. Order Cross-shareholdings are strictly prohibited according to Financial holding company act. If an originally listed/OTC…
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S Korea – Rulefinder Alerts to New Short Selling Bans
On 14 September 2023, aosphere's Rulefinder solution alerted to new temporary short selling bans in S Korea issuers. Effective: Short selling bans are in effect for said issuers for one trading day on 15 September.
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13 September 2023 – U.S. SEC Fines for Failure to Report Major Shareholding
U.S. SEC Fines for Failure to Report Major Shareholding</a
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Japan – SESC 2022 Disclosure Inspection
On 10 September 2023, JPN SESC issued disclosure inspection casebook for 2022. JPN SESC published the latest issue of findings in the disclosure inspection casebook. Document dated 31 August 2023, received from SESC September 10, summarized September 12. Follows JPN SESC Sep. 2022 published disclosure inspection casebook. Casebook Includes JPN SESC's recent disclosure inspection efforts,…
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Sweden – ENT on Foreign Direct Investment
On 11 September 2023, SWE ENT blogged on new law on investment controls which follows SWE MoJ May 2023 bill on review of foreign direct investment. Main Concerns Threshold values missing so even very small purchases are covered; combined with fact that changes in ownership stakes in certain intervals also subject to notification, means large…
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