U.S. SEC Fines for Short Selling Failures
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U.S. – SEC Settles Short Selling Charges
On 21 February 2024, SEC settled short selling charges against Contrarian Capital. SEC charged Contrarian Capital Management, LLC for violations of the SEC's short selling rule, Rule 105 of Regulation M (17 CFR 242.105) per Securities exchange act. Rule 105 of Regulation M prohibits short selling an equity security during a restricted period, and then…
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S Korea – FSS Targets Illegal Short Selling Among Its Key Tasks for 2024
On 5 February 2024, SK FSS issued 4 strategies and 12 key tasks for 2024. SK FSS issued 4 strategies, 12 key tasks for 2024, to achieve firm financial stability (control illegal short selling), supportive finance for the public, strong financial trust, and dynamic future growth. Key Tasks For firm financial stability, strengthen risk management…
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China – CSRC Market Stability, Short Selling
On 5 February 2024, CHI CSRC shared measures to maintain stability of capital market. Include penalizing market manipulation/malicious short selling, stricter oversight of stock lending, risk management of stock pledge by major shareholders of listed firms.
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Greece – HCMC New Portal for Short Selling Reporting
On 2 February 2024, the regulator in Greece, the HCMC implemented a new portal to report short selling. new system replaces old short selling reporting mechanism and can be found here
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U.K. – FCA .2% Short Selling Threshold Effective
On 5 February 2024, the increase to UK short selling threshold became effective. .2% short selling threshold implemented by FCA replaces previous .1% short selling threshold
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