All posts tagged "Short Selling"
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168ChinaFormer Supervisor at ICBC Unit Settles with US SEC
The former supervisor of ICBC’s US broker-dealer unit has agreed to settle charges for failures involving the improper handling of transactions of ADRs.
October 18, 2019 -
248ChinaCSRC Fines Four Individuals for Spreading False News
The individuals, including a news editor, were fined for spreading ‘fabricated’ news that the CSRC blames for stock market declines in late January.
August 22, 2019 -
433Hong KongHKEX Proposes Changes to Pre-Open Session, Volatility Controls
The proposals aim to improve market liquidity and global competitiveness of the Hong Kong market, HKEX says in a new consultation paper.
August 19, 2019 -
309China
China Relaxes ‘One Size Fits All’ Margin Financing Rules
Brokerage firms can set lower thresholds before margin calls need to be initiated, and can accept additional forms of collateral to make up any shortfalls.
August 12, 2019 -
518EnforcementSFC Fines Hong Kong Brokerage for Ineffective Short Selling Controls
Glory Sun Securities has been fined HK$1.2m for failing to ensure compliance with short selling requirements. Two responsible officers and an account executive have also been suspended.
July 16, 2019 -
756China
CSRC Allows Funds to Engage in Securities Lending
Certain funds can lend stocks to the state-owned China Securities Finance Corp, which can then lend to brokers, who facilitate investor short selling.
June 27, 2019 -
966Hong Kong
SFC Directs Prime Brokers on Regulatory Obligations
If prime services are carried out in Hong Kong, prime brokers are expected to comply with Hong Kong rules and regulations regardless of where the risk positions are booked.
June 11, 2019 -
1.4KFintech / RegtechMalaysia to Use Blockchain in Securities Borrowing and Lending
Working with bank stakeholders, Bursa Malaysia is developing Southeast Asia's first blockchain proof-of-concept for securities borrowing and lending.
May 7, 2019 -
583Asia-PacificBSEC Publishes Draft Rules on Securities Short Selling
The draft rules set out requirements for brokers and dealers in relation to short selling of securities, which is currently prohibited in Bangladesh.
May 7, 2019 -
555Enforcement
Hong Kong Court Dismisses Short Seller’s Trading Ban Appeal
The Court dismissed an appeal from short seller Andrew Left to overturn a 2016 ruling banning him from trading in Hong Kong for five years after he published a report containing false information.
February 28, 2019
