On 16 April 2026, Thai GVT proposed revising definition for derivatives firms. Thai GVT said Thai SEC commenced consultation on a draft notification revising the definition of major shareholder for derivatives business operators. The objective is to strengthen oversight by capturing the true controlling persons and aligning rules with those applied to securities firms and […]
Netherlands Fines Arrowstreet for Short Selling Reporting Failures
U.S. FINRA Fines for Failure to Comply with Short Selling Regulations
On 20 April 2026, the SFC updated the Takeover Table with the following: offer period for ETS Group Limited (stock code: 08031) closed on 20 March 2026; offer period for Man Shun Group (Holdings) Limited (stock code: 01746) closed on 2 March 2026; offer period for Thelloy Development Group Limited (stock code: 01546) closed on 10 April […]
On 13 April 2026, FR AMF welcomed first criminal decisions in insider trading case. FR AMF welcomed Paris criminal court’s conviction of three individuals for insider dealing and complicity, in a landmark case involving insider trading networks. These are the first criminal penalties specifically targeting insider trading networks, which the AMF identifies as a growing […]
On 15 April 2026, the FCA published a Policy Statement (PS26/5) with final rules for short selling. These will create a new Sourcebook, within the FCA Handbook. The new short selling regime will apply from 13 July 2026. The final rules make changes in the following areas: UK sovereign debt and UK sovereign credit default […]