All posts tagged "Short Selling"
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323FeatureKorea: New FSC Administration Sets Out Policy Agenda
The agenda sets out measures to ensure financial stability, encourage digital transformation, improve the capital markets, and introduce new regulations for digital assets.
August 12, 2022 -
296AML / KYCNew York State Regulator Penalises Robinhood Crypto Unit
Robinhood Crypto had inadequate staffing of its AML programme, transaction monitoring deficiencies, and noncompliant cybersecurity policies.
August 5, 2022 -
355Feature
Korean Regulators Vow to Punish Illegal Short Selling Activities
Regulators may revise laws as early as this year to require short sellers trading large quantities of stocks to file reports on their activity.
July 29, 2022 -
477ESG / SustainabilitySFC Reviewing Market Practices to Guard Against Risk
Reviews underway cover concentration risk in OTC derivatives markets, risk management at futures brokers, and block trading practices.
June 30, 2022 -
403KoreaKorea FSS to Form Taskforce Targeting Illegal Short Selling
The task force will first conduct fact-finding inspections and investigate areas with a high probability of short selling violations.
June 3, 2022 -
662Asia-PacificIndonesia Stock Exchange to Allow Structured Warrant Listings
New regulations allow exchange members to issue structured warrants for listing and trading on the IDX. Structured warrants must have a liquidity provider.
April 13, 2022 -
687Securities / DerivativesUS SEC Proposes New Rule to Increase Short Selling Transparency
Institutional investment managers will have to report information relating to short positions to the SEC on a monthly basis. The data will be aggregated and made available to the public.
February 28, 2022 -
364Crypto / Digital AssetsUS Fed Approves New Trading Rules for Senior Officials
The rules aim to support public confidence in the impartiality and integrity of the FOMC's work by guarding against "even the appearance of any conflict of interest".
February 28, 2022 -
807EnforcementUS DOJ Probes for Criminal Abuses by Known Short Sellers
The DOJ is reportedly seeking records from almost 30 investment and research firms to map out their alliances and determine whether they manipulated markets or broke securities laws.
February 8, 2022 -
823KoreaKRX Chief Vows to Improve Investor Protection in Stock Market
Sohn Byung-doo suggests lockup periods be imposed on executives following an IPO, and that companies be required to consider retail investors when processing spinoff IPOs.
January 28, 2022
