HK regulator secures first criminal conviction of retail trader for illegal short selling
The Eastern Magistrates’ Court today convicted Ms Christine Yeung Tak Sum, an unemployed retail trader, after she pleaded guilty to securities fraud.
short selling
FCA outlines key elements of new short selling regime
FCA, featured, short selling
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The FCA will have the power to make rules to exempt market making activities and stabilisations from certain short selling requirements.
ASIC bans former Gleneagle Securities fund manager for naked short selling
ASIC, featured, short selling
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ASIC has banned former Gleneagle Securities fund manager and authorised representative Gregory Tolpigin from providing financial services for three years.
HK watchdog imposes $1.75M fine on Asia Research & Capital Management Limited
Asia Research & Capital Management, SFC, short selling
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The SFC has fined Asia Research & Capital Management Limited $1.75 million for non-compliance with the EU’s short selling reporting requirements.
Weiss Asset Management to pay $6.9 million to settle SEC charges
featured, SEC, short selling, Weiss Asset Management
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Weiss Asset Management LP has agreed to pay $6.9 million to settle charges that it violated the federal securities laws.
Robinhood launches retail client stock lending
featured, NASDAQ:HOOD, short selling, stock lending
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Stock Lending is currently rolling out to customers and Robinhood expects it to be available to all customers by the end of May.
Central Bank of Russia bans short selling
Central Bank of Russia, Russian Forex regulation, short selling
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In light of the current market situation, the Central Bank of Russia has banned short selling on the Russian exchanges and OTC markets.
SEC, BTIG continue settlement talks
BTIG, regulation sho, SEC, short selling
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The settlement in principle between the SEC and BTIG includes an injunction, disgorgement, and a civil money penalty.
SFSA opens sanction case against Nordnet
Nordnet, short selling
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Swedish watchdog opens a sanction case regarding Nordnet’s internal governance in relation to EU’s regulation on short-selling.
ASIC tells activist short sellers to release short reports outside normal trading hours
activist short sellers, short selling
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ASIC tells activist short sellers to release short reports outside normal trading hours, avoiding overly emotive language.
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