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This article answers some of the key legal and practical questions surrounding the equity derivatives market in Hong Kong, covering key regulatory provisions and liability issues, among other things.
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 ...