On 29 November 2022, SK FSS issued final rules approved on 28 November, effective 30 November 2022. Background: On 4 November 2022, SK FSS proposed rules on registration, short selling reports. SK FSS proposed Detailed regulations of the regulations on financial investment business, to ease burden on foreign investment business submitting documents. Revise registration form;…
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7 November 2022 – Germany BaFin Fines for Late Substantial Shareholding Disclosure
Germany BaFin Fines for Late Substantial Shareholding Disclosure
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31 October 2022 – Germany BaFin Fines Union Service-Gesellschaft mbH for Late Substantial Shareholding
Germany BaFin Fines for Late Substantial Shareholding Disclosure
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28 October 2022 – India SEBI Fines for Takeover Reporting Failures
India SEBI Fines for Takeover Reporting Failure
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12 October 2022 – Hong Kong SFC Fines for Short Selling Disclosure Failures
Hong Kong SFC Fines for EU Short Selling Reporting Failures
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6 October 2022 – U.S. FINRA Fines for Inaccurate Short Selling Disclosures
U.S. FINRA Fines for Inaccurate Short Selling Reporting
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