On 21 March 2024, VIE GVT published related notification and the consultation paper. Background VIE SEC proposed to amend, supplement existing rules. VIE SEC drafted circular to amend, supplement existing regulations on securities transactions, clearing and settlement; activities of securities companies; and disclosure of information on the securities market; in accordance with Law on securities,…
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Hong Kong – SFC Short Selling Fraud Charges
On 20 March 2024, HK SFC said Yeung has been sentenced to 18 months in prison for securities fraud; Magistrate Mr. Jeffrey Sze Cho Yiu emphasized severity of the offense. Background HK SFC said Yeung pleaded guilty to securities fraud involving illegal short selling in proceedings. The case marks the first criminal conviction of securities…
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22 March 2024 – Austria FMA Fines for Major Shareholding Reporting Failure
Austria FMA Fines for Major Shareholding Reporting Failure
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Sweden – ISP Updated Foreign Direct Investment Forms
On 19 March 2024, SWE ISP updated foreign direct investment forms and instructions. Updated documents are: Instructions for reporting foreign direct investment version 1.5; Notification of foreign direct investment form; plus appendix A; and appendix B.
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Taiwan – FSC Lower Substantial Shareholding Threshold
On 19 March 2024, TAI FSC said disclosure threshold for substantial shareholding will be reduced from 10% to 5%; reports will shift from paper-based to electronic format. TAI EXC, TAI TPEX will handle submissions related to substantial shareholding. Reminded that the lowered disclosure threshold will take effect from 10 May 2024.
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21 March 2024 – India SEBI Fines for Major Shareholding Reporting Failure
India SEBI Fines for Major Shareholding Reporting Failure
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