FSC Fines JPM for Breaches Pertaining to Short Selling
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About: Anna Monteiro
Recent Posts by Anna Monteiro
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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Hong Kong – SFC Takeover Table Updated
On 8 February 2025, the SFC updated the Takeover Table new offer period commenced for Enviro Energy International Holdings Limited (stock code:1102) from 6 February 2025.
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U.S. – SEC Delays Short Selling Rule 13f-2 Implementation
On 8 February 2025, the SEC announced that it would delay the implementation of short selling reporting rule 13f-2 for one year. SEC has granted a temporary exemption from compliance with Rule 13f-2 and filings delayed for one year and due instead by 17 February 2026 exemption from compliance will give filers more time to implement…
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