RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
LATEST NEWS
Taiwan – FSC Commercial Banks Investment Minimum Shareholding
On 2 April 2026, TAI FSC, TAI Justice issued order to revise appendix of paragraph 3 of Conditions to Be Met and Documents to Be Submitted by Commercial Banks Investing in Other Enterprises.
The mini...
S Korea – FSS Published Results on Naked Short Selling Detection
On 30 March 2026, KRX published first-year results and future plans for NSDS.
KRX will continue strengthening market oversight of illegal short selling using insights derived from NSDS operations.
It...
S Korea – FSS Guidance on Substantial Shareholding Disclosure
On 30 March 2026, SK FSS guided on equity transaction-related disclosure.
SK FSS guided on disclosure of equity transactions and short-term capital gains.
Guidance
When an unlisted firm goes publi...
S Korea – FSS Fines for Major Shareholding Failure
On 24 March 2026, SK FSS fined Zenith for violating major shareholding reporting obligations.
SK FSS imposed penalty of KRW 547.2 million to Zenith Investment Advisory Co., Ltd. (Zenith) for multipl...
Canada – CIRO Fully Paid Securities Lending Rules / Short Selling
On 26 March 2026, CIRO issued guidance on fully paid securities lending.
CIRO published guidance re Dealer Members’ practice of borrowing fully paid, excess margin securities from retail clients; in...
Hong Kong – SFC Issues Takeovers Bulletin No. 76
On 31 March 2026, the SFC released Takeovers Bulletin Issue no. 76
Highlights include:
Engagement of suitable professional advisers
Settlement agreement in relation to certain dealings in Giordano sh...
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