On 30 September 2025, Thai SEC published 6 announcements finalizing the above proposal. TorThor. 33/2568 regarding criteria, conditions, and procedures for lending money for the purchase of securities. TorThor. 34/2568 regarding criteria, conditions, and procedures for granting loans for the purchase of securities by securities companies engaged in securities lending business. TorThor. 35/2568 regarding business…
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Beach Volleyball in August: Update on SEC 13f-2
We exited July without a decision from the Fifth Circuit Court on the NATIONAL ASSOCIATION OF PRIVATE FUND MANAGERS, et al. v. SECURITIES AND EXCHANGE COMMISSION case Read the full article.
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U.S. – SEC Settles Charges for Short Selling Violations
On 4 August 2025, SEC settled charges for public offering of stock violations. SEC settled charges against Sourcerock Group, LLC for violating public offering rules, when it purchases stock for advisory clients after short selling the same stock. Allegations Sourcerock purchased stock in a public offering of securities for six advisory clients after selling short…
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4 August 2025 – US SEC Issues Cease and Desist Order for Short Selling Failures
US SEC Issues Cease and Desist Order for Short Selling Failures
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Sri Lanka – CSE Outlines CCP Framework for Equity Transactions, RE: Short Selling
On 27 July 2025, SRI CSE outlined CCP framework implementation for equity transactions re, short selling. CCP framework uses novation process where CSE Clear becomes buyer to every seller and seller to every buyer, eliminating counterparty risk and guaranteeing settlement completion even if one party defaults. CSE Clear employs margin methodology including base margin requirements…
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UK – FCA Bulletin Oversight Department for Shareholding and Short Selling Reporting
On 17 July 2025, UK FCA issued Primary Market Bulletin 56 on detection. UK FCA issued Primary Market Bulletin 56 focused on optimizing data and technology to strengthen detection capabilities in shareholding reporting, on Directors’ dealing cases. Follows UK FCA April 2025 issued Primary Market Bulletin 55 on changes. Detection Capabilities The integrity of the…
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