On 20 February 2026, GE BaFin opened consultation on draft practice circular. GE BaFin opened consultation 1/2026 regarding the draft of Circular xx/2026 (WA)- Administrative practice on takeover law. Purpose Circular outlines GE BaFin’s existing administrative practice regarding takeover law. It consolidates previously published information on takeover law including the Information Sheet-Interpretation of Section 35 […]
On 16 February 2026, HK SFC discussed settlement involving liability up to HKD 1.5bn. HK SFC announced a settlement with Sino Wealth International Limited and Clear Prosper Global Limited for breaches of the codes on takeovers and mergers and share buy-backs in relation to dealings in shares of Giordano International Limited. Outline of Settlement HK […]
On 17 February 2026, CIRO published annual report on compliance for dealers. CIRO issued the CIRO Compliance Report for 2026: Helping Dealers with Compliance. Follows January 2025 CIRO release of annual compliance report for 2025. Report highlights the key issues and challenges that CIRO-regulated dealers should prioritize to strengthen investor protection and support robust market […]
On 9 February 2026, HK SFC convicted masterminds for securities fraud re listed firms. HK SFC sentenced Mr. Li King Hong and Mr. Lam Hin Fai to up to 24 months jail, in a securities fraud case involving the shares of four Hong Kong-listed companies. Their spouses, Ms. Chan Ngai See and Ms. Betty Hui […]
On 6 February 2026, UAE DFSA issued notice, USD 504,000 fine re market abuse. UAE DFSA imposed fine of USD 504,000 on Ark Capital Management (Dubai) Limited under art 90(2) Regulatory Law 2004 for having inadequate market abuse systems and controls, and for failing to notify DFSA of a proposed change in control; contraventions during […]
On 4 February 2026, UK TO Panel detailed code amendments and adviser note. The amendments to the Takeover Code set out in Instrument 2025/1: Dual class share structures, IPOs and share buybacks and Instrument 2025/2: Minor amendments to Takeover Code, take effect from 4 February 2026. Code and Other Amendments Takeover Code website was updated […]