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…
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Hong Kong – SFC Fines for Short Selling Violation Related to Pump and Dump Scheme
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…
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Australia – ASIC ETF Short Selling Relief Extension
On 2 February 2026, AST ASIC amended instrument to extend exemptions. AST ASIC registered ASIC Corporations (Amendment) Instrument 2026/24, which amends the ASIC Corporations (Short Selling) Instrument 2018/745. AST ASIC also published explanatory statement regarding instrument 2026/24. This instrument is made under s 1020F(1) of Corporations Act 2001 (ASTCA). Follows AST GVT February 2023 registered…
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S Korea – FSS Corporate Disclosure Guidelines
On 30 January 2026, SK FSS updated the guidelines for corporate disclosure. SK FSS issued Practical guidelines for corporate disclosure updated in December 2025. Updates re Distribution Disclosure Guidelines reflect expanded disclosure obligations re executive appointment/re-appointment restrictions and scope of disclosure re contracts among shareholders. In addition, revision of the post-disclosure form for single sales/supply…
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S Korea – KRX Short Selling Compliance Monitoring
On 29 January 2026, KRX revised the detailed regulations, effective from 29 January 2026. The deadline for members to report the inspection results of transactions subject to short selling violation review will be revised to the 10th trading day of the month following the end of the quarter in which the relevant transaction occurred.
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S Korea – KRX Short Selling Balance Reporting
On 28 January 2026, KRX revised KOSPI, KOSDAQ, KONEX markets regulations. KRX published the revised KOSPI market business regulations, KOSDAQ market business regulations, as well as KONEX market business regulations. These revisions follow SK GVT's efforts to promote inclusion in the MSCI advanced markets index and will be reflected in the Market surveillance regulations. Follows…
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