Blogs

Posts tagged with Legislation
SFC Announces Changes to Position Limit Regime

SFC Announces Changes to Position Limit Regime

The first changes to the SFC Position Limit Regime since 2017 take effect on 22 December 2023, altering four major requirements for investment managers.

Peeling Back the Layers of Position Limits

Peeling Back the Layers of Position Limits

Position Limits cover the purchase and trading of a broad set of derivatives across asset classes and instruments. Where did it all start?

Short Selling Regulation Review: Our Response to the Call for Evidence

Short Selling Regulation Review: Our Response to the Call for Evidence

FundApps' letter to His Majesty’s Treasury (HMT) after a call for evidence was issued to improve the UK’s Short Selling Regulation (SSR).

GICS Changes in March to Impact Sensitive Industries Monitoring

GICS Changes in March to Impact Sensitive Industries Monitoring

The Global Industry Classification Standard is changing 17 March 2023, and investment management companies will need to reflect changes to stay compliant.

Position Limits keep vying for the compliance spotlight, and for good reason

Position Limits keep vying for the compliance spotlight, and for good reason

Our latest blog focuses on how derivatives limit monitoring is still a moveable feast and needs to be kept on top of, highlighting changes in 2022.

Hong Kong hedge fund fined HK$1.75mn by SFC for EU short selling breach

Hong Kong hedge fund fined HK$1.75mn by SFC for EU short selling breach

A Hong Kong hedge failed to make 155 notifications to the FCA and 153 disclosures to the public of its net short position in Premier Oil.

The EU’s MiCA - the ‘Mini-MiFID’

The EU’s MiCA - the ‘Mini-MiFID’

In late June, the Council presidency and the European Parliament reached provisional agreement to introduce the Markets in Crypto-assets (MiCA) directive.