Solutions Atlantic
  • Home
  • Regulatory Reporting System
  • In The News
  • The Company
    • Our Story
    • Strategic Relationships
  • Contact Us

U.S. – SEC Fines HK Based Trading Firm for Illegal Short Selling

September 25, 2024 by Anna Monteiro in links

U.S. SEC Fines HK Based Trading Firm for Illegal Short Selling

Tags: short selling

RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES

  • 4 May 2026 – U.S. SEC Fines Company for Inaccurate Schedule13D
  • 4 May 2026 – U.S. SEC Fines for Late Beneficial Ownership Disclosure
  • 4 May 2026 – U.S. SEC Fines Musk and Revocable Trust for Failure to Report Major Shareholding
  • 20 April 2026 – Netherlands Fines Arrowstreet for Short Selling Reporting Failures
  • 20 April 2026 – U.S. FINRA Fines for Failure to Comply with Short Selling Regulations
  • 10 April 2026 – Sweden Fines for Late Major Shareholding Disclosure
  • 26 March 2026 – Namibia CRAN Rejects Starlink Satellite Application
  • 24 March 2026 – S Korea Fines for not Disclosing Major Shareholding Change
  • 16 March 2026 – Australia ASIC Fines Macquarie for Misreporting Short Selling
  • 10 March 2026 – Germany BaFin Fines For Failing to Submit Voting Rights Notifications
  • 27 February 2026 – India SEBI Fines for Failure to Disclose Shareholding in Sensitive Industries
  • 6 February 2026 – UAE FSA Fines for Failure to Notify Change of Shareholding/Control
  • 5 January 2026 – India SEBI Fines for Failure to Disclose Major Shareholding
  • 17 December 2025 – Norway Fines for Failure to Report Major Shareholding
  • 12 December 2025 – Norway Fines for Late and Incomplete Substantial Shareholding Report
  • 30 November 2025 – Sweden Fines for Failure to Report Breach of Short Selling Threshold
  • 23 November 2025 – India SEBI Fines for FPI in Sensitive Industries
  • 7 November 2025 – Sweden Fines for Late Shareholding Disclosure
  • 28 October 2025 – Sweden Fines for Failure to Report
  • 25 October 2025 – India SEBI Fines for Substantial Shareholding Failure
  • 22 October 2025 – India SEBI Fines for LODR Regulation Failure
  • 20 October 2025 – Spain Fines for Failure to Reporting Shareholding in Sensitive Industries
  • 15 October 2025 – Germany BaFin Fines for Failure to Report Voting Rights
  • 14 October 2025 – India SEBI Fines for Breach of Substantial Shareholding Regime
  • 30 September 2025 – US Fines for Coordinated Effort for Major Shareholding
  • 17 September 2025 – India SEBI Substantial Shareholding Reporting Failures
  • 15 September 2025 – S Korea Fines 5 for Short Selling Reporting Failures
  • 1 September 2025 – New Zealand Fines for FDI in Sensitive Land
  • 1 September 2025 – New Zealand Fines for FDI in Sensitive Land
  • 1 September 2025 – New Zealand Fines for Sensitive Industries Breach of Overseas Investment Act
  • 1 September 2025 – New Zealand Fines for Breach of Overseas Investment Act
  • 1
  • 2
  • 3
  • 4
  • 5
  • 6
    • ...
  • 11
  • >>

Archives

Headquarters

27 Tilton Rd
Chilmark, MA 02535

Main: +1.617.823.2699
Email: info@solutions-atlantic.com

Sales

Schedule a demo or speak with a sales executive.

Phone: +1.203.722.3908
Email: sales@solutions-atlantic.com

Partners & Alliances

Compliance consultancy, regulatory content & distribution partners.

Phone: +1.203.722.3908
Email: alliances@solutions-atlantic.com

Customer & Tech Support

Hours: 8:30am – 5:30pm ET

Phone: +1.617.823.2699
Email: support@solutions-atlantic.com

© 2026 Solutions Atlantic. All Rights Reserved.

↑