On 1 August 2025, AUT FMA imposed a €120,000 fine for late substantial shareholding notification. AUT FMA imposed a €120,000 fine on Global Alpha Capital Management Limited for late substantial shareholding notification. Main Points Imposition of a fine of €120,000 for late substantial shareholding notification of exceeding the 5% limit for shareholdings in an issuer’s […]
On 4 August 2025, SEC settled charges for public offering of stock violations. SEC settled charges against Sourcerock Group, LLC for violating public offering rules, when it purchases stock for advisory clients after short selling the same stock. Allegations Sourcerock purchased stock in a public offering of securities for six advisory clients after selling short […]
On 4August 2025, Thai CB consulted on shareholding, transaction regulations. Thai CB launched a consultation on a draft announcement to revise regulations governing shareholdings of financial institutions and holding companies that are parent companies of financial business groups. It is also consulting on regulations related to transactions between financial institutions and their major shareholders or […]
On 29 July 2025, PAK SEC introduced above mentioned amendments to Companies regulations, 2024 establishing centralized ultimate beneficial ownership (UBO) registry. UBO data will be accessible to financial institutions and other stakeholders as needed. UBO information submission required for financial years ending 30 June 2025 or later.
On 30 July 2025, AST Takeover Panel said PointsBet lodged application re takeover. AST Takeover Panel it received an application from PointsBet Holdings Ltd (PointsBet) re its affairs and President of AST Takeover Panel has made interim orders in response to an application for interim orders from PointsBet; PointsBet is facing competing bids. Namely, a […]
On 1 August 2025, the SFC updated its Takeover table to include the following: new offer period has commenced for Joy City Property Limited (stock code: 0207) from 31 July 2025.