23 September 2024 – Turkey CMB Fines for Breach of Short Selling Ban
Turkey CMB Fines 13 Entities for Breach of Short Selling Ban
23 September 2024 – U.S. SEC Fines for Breach of Short Selling Rules
U.S. Fines for Breach of Short Selling Rules
U.S. SEC – Fines For Illegal Short Selling
On 19 September 2024, SEC settled charges re Rule 105 short selling violations. SEC settled with Gates Capital Management, Inc. re Rule 105 short selling violations. Bought stock in securities offering for fund clients after shorting same for fund clients. Alleged Violations 30 August through 1 September 2023, Gates Capital sold short 90k ROL shares […]
E.U. – ESMA Short Selling Non-Listed Shares FAQ
On 17 September 2024, ESMA issued FAQ on determination of net short position. ESMA issued new FAQ concerning the Short Selling Regulation (SSR Reg 236/20212). Determination of Net Short Position Q: ESMA_QA_2282 Asks, when calculating net short positions in relation to issuers having both listed and non listed shares, should the issued share capital also […]
19 September 2024 – U.S. SEC Fines for Breach of Short Selling Rules
U.S. Fines for Breach of Short Selling Rules
Taiwan – SET Revised Regulations to Enhance Supervision Re: Short Selling
On 21 June 2024, Thai SET revised regulations (re: short selling) to enhance supervision. Thai SET revised regulations to enhance supervision, covering short selling, high-frequency trading (HFT), disclosure of investors with inappropriate trading behavior. Document dated 21 June 2024, received from Thai SEC 13 September 2024. Revisions Criteria for market capitalization increased; the average monthly […]