All posts tagged "Short Selling"
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503Hong KongSFC 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 -
901Fintech / 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 -
464Asia-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 -
486Enforcement
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 -
633EnforcementS. Korea to Crack Down on Unfair Trading Practices
The FSS plans to tighten monitoring of unfair trading practices, namely high-frequency trading, false disclosures and unlawful short-selling. Merrill Lynch, Franklin Templeton under scrutiny.
February 28, 2019 -
370Malaysia
Affin Hwang, Bursa Malaysia Launch Retail SBL Facility
Affin Hwang Investment Bank and Bursa Malaysia have formally launched a securities borrowing and lending facility for retail investors.
January 21, 2019 -
366Asia-Pacific
Bursa Malaysia Enhances ETF Framework, Effective in January
“The introduction of innovative ETF products is a welcome development for our ETF market, and should lead to a more vibrant ETF ecosystem," said Bursa Malaysia chief Tajuddin.
December 10, 2018 -
429EnforcementSoros-Linked Fund Manager Fined in Hong Kong for Naked Short Selling
SFM HK Management Ltd, owned by New York's Soros Fund Management, was fined HK$1.5mn for short selling Great Wall Motors bonus shares before they were available for trading.
December 7, 2018 -
497EnforcementS. Korea Fines Goldman $6.7m for Naked Short Selling
The FSC found that Goldman Sachs conducted naked short selling worth about KRW 40 billion in late May. Naked short selling is prohibited in South Korea.
November 29, 2018 -
318EnforcementSFC Fines Huatai Financial for Naked Short Selling
Huatai Financial's unintentional short sale of Great Wall Motor bonus shares in 2015 was as a result of inadequate systems and internal controls.
September 19, 2018
