Tag Archives: short selling

U.K. – Gov’t Short Selling Reporting Threshold Lowered

On 6 January 2021, UK GVT lowered initial short notification threshold to 0.1%. UK GVT issued the short selling (notification thresholds) regulations 2021. Purpose Amended retained EU regulation 2012/236 on short selling and certain aspects of credit default swaps, commonly known as the short selling regulation (SSR). Lowered initial notification threshold from 0.2% to 0.1%…
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Hong Kong – SFC $3.6 mn Short Selling Fine

On 23 December 2020, HK SFC fined Fulbright Securities find $3.6 million. HK SFC fined Fulbright Securities $3.6 mn for internal control failures relating to short selling and for failing to report related short selling incidents to SFC in timely manner. Findings From October 2015 to March 2016, there were at least 93 instances of…
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Thailand – SET Short Positions Not Covered

On 22 December 2020, Thai SET issued guidelines on reporting short positions. Thai SET issued guideline for short selling reporting for positions which have not been covered, with an example of the calculation amount and adjustment of such short positions. Reporting All member companies and non-member securities companies have a duty to submit report on…
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