Tag Archives: short selling

South Africa – FSCA Short Selling, LEIs

On 4 December 2018, RSA FSCA released discussion papers on short sales/LEIs. FSCA issued the following two discussions papers for comment by 15 January 2019. Short Sale Reporting In response to the finding in the 2014 IMF Financial Sector Assessment Program that South Africa did not have a reporting framework in place for short sales.FSCA…
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Hong Kong – SFC Issues Fine for Short Selling

On 6 December  2018, The Securities and Futures Commission (SFC) has reprimanded and fined SFM HK Management Limited (SFM) HK$1.5 million for failures relating to the short selling of Great Wall Motor Company Limited (Great Wall) shares in 2015 on behalf of a fund it managed.
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Canada – IIROC Short Selling Reports Effective Today

On 26 October 2018, IIROC issued consolidated short position reports (CSPR). CSPR provide aggregate short position of all listed, quoted securities as of 15th, last day of each month on IIROC-submitted data by members, access persons. Follows IIROC Mar. 2018 notice on short position calculation, reporting. Content of Report To include security name, symbol, listing…
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