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 minimum required shareholding for first-time investments in certain financial institutions has been increased from more than 10% to more than 25%, […]
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 will provide guidance to institutional investors based on cases identified through NSDS to help prevent recurrence. Efforts will be made to reduce unnecessary regulatory burden […]
In March, we conducted a review of the 2025 sanctions imposed on entities for failures to comply with Global Shareholding regimes: Major Shareholding, Short Selling, Takeovers, and Sensitive Industries. Read the full article.
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 public, it should pay attention to the reporting type, deadline, criteria; securities convertible into stock are subject to equity disclosure. The reasons for the occurrence of […]
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 multiple violations of disclosure and reporting obligations. Violations Zenith failed to disclose and report 28 cases of executive appointments or dismissals that occurred from Mar. […]
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 compliance with CIRO Rule 4600 Part B.2. Follows Feb. 15, 2026, CIRO proposed fully paid securities lending guidance. Fully Paid Securities Guidance Part B.2. of […]