Blogs
Posts by Ben Richards
3 mins
How are CFTC Position Limits calculated?
In the US, the CFTC makes provisions for the exchanges to set the specific position limits that can be accumulated by the market participant on their exchange.
2 mins
German Regulator BaFin Increases Maximum Fine Guidelines
The new rules, introduce the possibility of revenue based or profit-based calculation of the relevant fines, including a maximum fine of 5% of annual turnover.
2 mins
Overheated Short Selling in South Korea
After the 27th of March 2017, stocks with a sudden and abnormal increase of short selling over a trading day will be designated as “overheated short-selling stocks”, subject ...
3 mins
From the Content Team: The Impact of Multi-level Derivatives on Shareholding Disclosure
Multi-level derivatives can quickly become the undoing of even the most capable compliance team, due to their extremely complex and intricate nature.