On 27 September 2024, Thai TCH issued exceptions to short selling price criteria. Thai TCH issued a notification on the exceptions to the price criteria for short selling. For alignment with Thai GVT's policy to mobilize capital through VAYU1, in order to enhance public savings, investment and support the development of capital markets. Follows Thai…
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4 October 2024 – Italy Consob Fines for Short Selling Failure
Italy Consob Fines for Short Selling Failure
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S Korea – FSS Published Short Selling Guideline
On 25 September 2024, SK FSS published Integrated short selling guideline. SK FSS formulated the Integrated short selling guideline to enable investors to verify the illegality of short selling and launched the customized investor support system. Follows SK FSC, FSS June 2024 launched short sale reform measures. Overview of Integrated Guideline The balance available for…
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28 September 2024 – Turkey Fines for Failure to Recognize Short Selling Ban
Turkey Fines for Failure to Recognize Short Selling Ban
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U.S. – SEC Settles Short Selling Case Against HK IA
On 23 September 2024, SEC reported settlement re public offering, short sale. SEC reported settled charges against Centerline Investment Management Limited, a Hong Kong, China-based investment adviser, for violating an SEC short selling trade rule. Purchased stock in public offering of securities for advisory client after effecting short selling in same stock for advisory client…
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U.S. – SEC Fines HK Based Trading Firm for Illegal Short Selling
U.S. SEC Fines HK Based Trading Firm for Illegal Short Selling
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