U.S. SEC Fines HK Based Trading Firm for Illegal Short Selling
Written by Anna Monteiro
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Archives
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 14 May 2025 – India SEBI Fines for Substantial Shareholding Reporting Failures
- 14 May 2025 – ASIC Fines Breaches of Short Selling Regulations
- 9 May 2025 – Poland Fines for Failure to Report Substantial Shareholding
- 11 April 2025 – Denmark Fines for Late Substantial Shareholding Reporting
- 1 April 2025 – Norway Fines for Breach of Short Selling Regulations
- 27 March 2025 – Turkey Fines for Failure to Report Short Selling
- 24 March 2025 – Sweden Fines for Violations of Short Selling Rules
- 20 March 2025 – China Fines for Failure to Obey Lock-in Period Re: Substantial Shareholding
- 18 March 2025 – Sweden Fines for Failure to Comply with Short Selling Rules
- 11 March 2025 – India SEBI Fines 6 for Substantial Shareholding Reporting Failures
- 20 February 2025 – Poland Fines for Substantial Shareholding Reporting Failures
- 17 February 2025 – Sweden FI Fines For Late Short Selling Reporting
- 14 February 2025 – S Korea Fines for Short Selling Breaches
- 14 February – S Korea Fines for Short Selling Breaches
- 14 February 2025 – S Korea Fines for Breaches in Short Selling
- 14 February 2025 – S Korea Fines for Short Selling Breaches
- 23 January 2025 – India SEBI Fines for Failures in Substantial Shareholding Reporting
- 13 January 2025 – US Fines for Failure to Comply with Short Selling Rules
- 19 December 2024 – US Fines For Breach of Short Selling Rule
- 12 December 2024 – Turkey Fines for Breaches of Short Selling Regulations
- 10 December 2024 – S Korea Fines for Illegal Short Selling
- 20 November 2024 – Australia ASIC Fines for Failure to Disclose Major Shareholdings
- 26 November 2024 – U.S. SEC fines for Illegal Short Selling
- 18 November 2024 – Poland Fines for Substantial Shareholding Failures
- 18 November 2024 – India SEBI Fines 7 for Substantial Shareholding Failures
- 15 November 2024 – Hong Kong Fines for Takeover Breaches
- 6 November 2024 – Netherlands AFM Fines for Failure to Report Substantial Shareholdings
- 15 October – S Korea Fines for Illegal Short Selling
- 9 October 2024 – Italy Consob Fines for Breach of Short Selling Regulations
- 4 October 2024 – Italy Consob Fines for Short Selling Failure
- 29 September 2024 – Sweden FI Fines for Late Substantial Shareholding in Bonds
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