7 November 2023 – Hong Kong SFC Issues Charges for Illegal Short Selling
Hong Kong SFC Issues Charges for Illegal Short Selling
S Korea – FSC Renews Short Selling Ban
On 5 November 2023 SK FSC, SK FSS banned short selling until end of June 2024. SK FSC Chairman Kim Joo-hyun held a briefing with SK FSS Chairman Lee Bok-hyun, on the complete ban on short selling of all stocks in the domestic stock market. Follows SK FSC, FSS February 2021 further extended short selling […]
S Korea – FSS Uncover Illegal Short Selling
On 31 October 2023, SK FSS announced a plan to create a short selling special investigation team and conduct comprehensive investigations on major global IBs. The team will be run from 6 November 2023, be composed of 1 team, 2 units with a total of 20 people with investigation experience in SK FSC, English fluency, […]
U.S. – SEC Short Selling Rule 13f-2 Entered into Federal Register
On 1 November 2023, Short Selling Rule 13f-2, Form SHO, and the amendments to the CAT NMS Plan adopted by the SEC were published in the Federal Register. Effective Date: 2 January 2024. Compliance Date: Rule 13f-2 and Form SHO which will be 2 January 2025 and amendment to the CAT NMS Plan will be […]
E.U. – ESMA Updated FAQs on Short Selling Regulations
On 21 September 2023, ESMA issued FAQ on notifications of short selling. Document dated 21 September 2023, was received on 26 October 2023 due to a new feed. ESMA issued answer on transparency of net short positions under the Short selling regulation (SSR Reg 236/2012), about positions existing before application of the SSR. The question […]
Philippines – PSE – Delays Short Selling Introduction
On 19 October 2023, the PSE has announced it was extending the planned launch and implementation of the PSE Short Selling Program. New date for Launch will be 6 November 2023 Allows market participants more time to prepare for and comply with the various requirements needed to perform securities borrowing and lending activities as well […]