| 2024-10-14 | criminal | THE INDICTMENT RELATES TO ALLEGED VIOLATIONS OF THE FINANCIAL INVESTMENT AND CAPITAL MARKETS ACT IN CONNECTION WITH CERTAIN HEDGING TRADES EXECUTED BY A FORMER REGAL FUNDS MANAGEMENT PTY LIMITED EMPLOYEE ON 18 OCTOBER 2019 INVOLVING AN ISSUER LISTED ON THE KOREA EXCHANGE. | Pending | — |
| 2024-03-27 | civil | REGAL FUNDS MANAGEMENT PTY LIMITED FILED AN APPEAL/COMPLAINT AGAINST THE ADMINISTRATIVE FINES IMPOSED BY THE FINANCIAL SERVICES COMMISSION (FSC) (SOUTH KOREA) IN CONNECTION WITH ALLEGED BREACHES OF THE SOUTH KOREAN SECURITIES LEGISLATION (INCLUDING THE FINANCIAL INVESTMENT AND CAPITAL MARKET ACT AND… | Pending | — |
| 2024-03-25 | civil | REGAL FUNDS MANAGEMENT PTY LIMITED FILED AN APPEAL AGAINST THE ADMINISTRATIVE PENALTIES IMPOSED BY THE FINANCIAL SERVICES COMMISSION (SOUTH KOREA) IN CONNECTION WITH ALLEGED BREACHES OF THE SOUTH KOREAN SECURITIES LEGISLATION (INCLUDING THE FINANCIAL INVESTMENT AND CAPITAL MARKET ACT AND RELATED REG… | Final | — |
| 2023-12-26 | regulatory | THE FINANCIAL SERVICES COMMISSION (SOUTH KOREA) HAS PROVIDED NOTICE OF THE IMPOSITION OF ADMINISTRATIVE FINES AND PENALTIES OF KRW 313,200,000 (APPROX. USD$234,000) FOR ALLEGED BREACHES OF THE SOUTH KOREAN SECURITIES LEGISLATION (INCLUDING THE FINANCIAL INVESTMENT AND CAPITAL MARKET ACT AND RELATED… | Final | $234K |
| 2023-12-26 | regulatory | THE SECURITIES AND FUTURES COMMISSION HAS PROVIDED NOTICE OF THE IMPOSITION OF ADMINISTRATIVE FINES AND PENALTIES OF KRW 313,200,000 (APPROX. USD$234,000) FOR ALLEGED BREACHES OF THE SOUTH KOREAN SECURITIES LEGISLATION (INCLUDING THE FINANCIAL INVESTMENT AND CAPITAL MARKETS ACT AND RELATED REGULATIO… | On Appeal | $234K |
| 2023-12-26 | regulatory | THE FINANCIAL SERVICES COMMISSION (SOUTH KOREA) HAS PROVIDED NOTICE OF THE IMPOSITION OF ADMINISTRATIVE FINES AND PENALTIES OF KRW 313,200,000 (APPROX. USD$234,000) FOR ALLEGED BREACHES OF THE SOUTH KOREAN SECURITIES LEGISLATION (INCLUDING THE FINANCIAL INVESTMENT AND CAPITAL MARKETS ACT AND RELATED… | On Appeal | $234K |