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 […]
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 […]
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.
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.
On 1 April 2021, FR AMF updated on short selling rules and data tables. FR AMF issued summary of EU regulation on short sales (VAD), updated other data. It provides excel file containing the history of short positions born made public since 1 November 2012; the data is updated on the last day of each […]
On 1 April 2021, SWE FI said it will investigate Nordnet Bank short selling. SWE FI reported survey on internal governance and control re short-selling ordinance. On how Nordnet Bank AB ensures customers who carry out short selling, will comply. Follows SWE FI February 2021 reminded market of the rules for short selling. Objective To […]