China Law & Practice

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Not falling short: The rise of short selling in China

Earlier this year, some Chinese companies listed in the US found their stock prices plunging as a result of short sellers’ actions. Meanwhile, short selling has landed in China on its futures exchange and is being induced by the government to develop and improve its capital markets

Issue: December 2011/January 2012

Keywords (click to search): short selling DeHeng regulatory

Earlier this year, short sellers targeted many Chinese companies (Chinese concept stocks or “CCSs”) that had listed on US exchanges by way of reverse mergers and earned great profits. In one well-documented example, Sino-Forest Corporation (Sino-Forest), at the time one of the largest private forest industry incorporations in the world, underwent an investigation by regulators after accounting irregularities were found. Its stock slumped more than CDN$15 (US$14.65) between March and June, and its market capitalisation shrank more than CDN$6 billion in just three months. Short sellers were the biggest direct beneficiary of Sino-Forest’s woes.

Short-selling refers to the general term of selling a stock that the seller doesn’t own. For example, when investors predict the stock price of some US$100 shares will drop, they then “borrow” these stocks from a third party after paying certain guarantee fees, and then they sell the borrowed stocks. When...

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