SFC reprimands and fines Optimas Capital Limited $1.05m over short position reporting failures
SFC reprimands and fines Optimas Capital Limited $1.05m over short position reporting failures Thursday, April 15, 2021 Opalesque Industry Update - The Securities and Futures Commission (SFC) has reprimanded Optimas Capital Limited (Optimas) and fined it $1.05 million over failures to ensure short position reports (SPRs) for a collective investment scheme (CIS) under its management were accurate and compliant with the requirements under the Securities and Futures (Short Position Reporting) Rules (SPR Rules). An SFC investigation following a self-report by Optimas found that a total ...
Source: opalesque.com