FSC Fines MS for Breaches Pertaining to Short Selling
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14 February – S Korea Fines for Short Selling Breaches
FSC Fines UBS for Breaches Pertaining to Short Selling
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14 February 2025 – S Korea Fines for Breaches in Short Selling
FSC Fines JPM for Breaches Pertaining to Short Selling
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14 February 2025 – S Korea Fines for Short Selling Breaches
FSC Fines Nomura for Breaches Pertaining to Short Selling
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Switzerland – SECO Insider Dealing Re: Takeovers
On 11 February 2025, SWI SECO said Attorney General Office filed charges. SWI SECO announced OAG indicted a Swiss citizen in Federal Criminal Court on charges of insider dealing in transactions worth over 10.6 millions of francs. Overview The indictment alleges that in 5 cases between 2018 to 2020, the accused exploited confidential and price…
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China – CSRC Takeover of Hehe Futures Co
On 8 February 2025, CHI CSRC said it imposed a fine of RMB 6.1mn on Hehe Futures Co Ltd (Hehe) and revoked the futures business license of Hehe on 5 February 2025. Hehe failed to perform its management responsibilities for its subsidiary Hehe Asset Management (Shanghai) Co., Ltd, resulting in a major risk event in…
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