Tag Archives: short selling

SKorea – FSC Tightens Short Selling Rules

On 27 April 2021, SK FSC said its chairman took part in short selling mock testing to resume trades. Financial investment-related entities and securities houses also participated, to carry out a final test to ensure normal operation of related computerized systems. Mock testing covered the entire process, with particular focus on compliance with obligation to…
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U.K. – FCA Net Short Position Reporting

On 19 April 2021, UK FCA updated lists of exempted shares, short positions disclosed. Further Information See Short Selling (Amendment) (EU Exit) Regulations 2018; and FCA 2019/54. Further information on the changes introduced by the onshored SSR is available in FCA Primary Market Bulletins (PMB) 21 and 24 published in February and October 2019.  
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Hong Kong – SFC Fines Optimas Capital for Short Selling

On 15 April 2021, HK SFC fined Optimas Capital due to short selling reporting failures. HK SFC has reprimanded Optimas Capital and fined it HKD1.05mn over failures. It did not ensure short position reports (SPRs) for a collective investment scheme (CIS) under its management were accurate and compliant with the requirements. Investigation An SFC investigation…
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S Korea – FSC Short Selling Exceptions

On 15 April 2021, SK FSC chairman Eun Sung-soo met with securities companies and spoke on preparatory measures for partial resumption of stock short-selling on 3 May 2021. SK GVT has been operating a response team to root out illegal and unfair marketing or advising practices in markets, prevent inappropriate activities, improve regulations. Of four…
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Russia – NCP Short Selling Ban for Bonds

On 1 April 2021, RUS NCP changed risk parameters in securities market. RUS NCP announced change in short selling ban in securities market for some bonds. The change applies to over 125 bonds contained in the list issued as of 5 April 2021.
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S Korea – FSC Implements New Short Selling Rules

On 6 April 2021, the FSC's changes to the short selling regime takes effect. FSC announced changes in January 2021. Changes include: tougher sanctions, restrictions on short sellers' participation, record-keeping requirements, and wider powers for KRX to impose short selling bans.
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