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Hong Kong Court Convicts & Fines 2 Investors $14,000 for Illegal Short Selling on 7 Stocks
19th August 2022 | Singapore
The Hong Kong court has convicted and fined 2 investors (Siblings Chan Siu Tai & Janice Chan) $14,000 (HKD 114,000) and to pay the cost of investigation by Hong Kong SFC (Securities & Futures Commission), after pleading guilty to illegal short selling of 7 stocks. Hong Kong SFC: “The Court heard that on 27 occasions between 19 June 2019 and 5 September 2019, they placed orders to sell shares of seven listed securities on the Stock Exchange of Hong Kong Limited when they did not have any of those shares. They later bought back the shares to cover their short sold positions.”
“ Hong Kong Court Convicts & Fines 2 Investors $14,000 for Illegal Short Selling on 7 Stocks “
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Prohibits the Sale of Securities – Short Selling
Section 170(1) of the Securities and Futures Ordinance prohibits the sale of securities when the person does not have, or does not believe or does not have reasonable grounds to believe that he has a presently exercisable and unconditional right to vest the securities in the purchaser of them.
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