18 August 2022 – U.S. FINRA Censures and Fines for Short Selling
U.S. FINRA Censures and Fines for Short Selling Failure
U.S. FINRA Censures and Fines for Short Selling Failure
Hong Kong SFC Fines for Illegal Short Selling
U.S. SEC fines for Naked Short Selling
On 8 September 2022, TAI TPEX, TAI EXC amended the operational measures. TAI TPEX, TAI EXC amended operating rules for securities firms handling margin purchases and short selling of securities to align with revision of the civil code. Also amended the contract for the handling securities margin purchases/ short selling. Follows TAI FSC letter dated […]
On 8 September 2022, QAT FMA issued short selling and securities lending rules. QAT FMA issued covered short selling rules under Board Decision No. 5 of 2022. Also issued securities lending and borrowing rules under Board Decision No. 4 of 2022. Added new financial services activities to increase business of financial services firms. Firms may […]
On 2 September 2022, the FSA in Finland issued a press release announcing its plans to introduce an electronic submission requirement for short selling reporting. Required financial institutions should register for portal credentials at their earliest convenience at Suomi.Fi eAuthorizations Portal Several documents along with notarization are required Instructions are available at the FIN-FSA website: […]