Industry News


Non Renewal and Termination of Short Selling Bans

Irish Public Consultation on FDI Screening Announced

AMF Considers Lowering First Legal Notification Threshold / Enhancing Reporting On Short Positions

French Regulator Fines Hedge Fund €20m

Germany's BaFin Fines BlackRock For Late Filing of Voting Rights

FCA ready to receive notifications at the temporary 0.1% threshold from 6th April

Australian Government Q&A - Temporary Changes to Foreign Investment Framework


Consob adopts two measures due to the Covid-19 pandemic

ESMA requires net short position holders to report positions of 0.1% and above

Japan to Limit Foreign Ownership in 12 Sectors

China Approves New Securities Law

Vulcan Value Partners Fined SEK 340,000

MAS fines investor $200,000 for non-disclosure of shareholding interests


ESMA Publishes responses to its consultation on cost of market data and consolidated tape

Italian regulator opens consultation to introduce notification obligation

Deloitte: Asset Management Trends 2019

Dutch regulator opens consultation on lowering disclosure thresholds

Climate risk: Central banks call for action on disclosure

CFTC member opinion on proposed position limits for commodities markets

The Australian Takeover Panel has announced a consultation on its Guidance Note 20

Temporary short-selling ban on Wirecard AG will end on 18 April 2019, 12.00 midnight CET

ISIN Codes Will Be Mapped To LEIs

Digital Regulatory Reporting

UBS fined £27.6m for 135 million reporting errors

MiFID II costs and charges disclosures review findings

Thailand opens public hearing on changes to major shareholding reporting rules (in Thai)

The FFSA’s substantial shareholding website has been updated with a new email address

S.Korea fines Goldman Sachs' unit $6.7 million for naked short selling

ESMA updates SSR Q&A confirming the use of "Upcoming RCA" from FIRDS

Australia: New Reporting Requirements For Foreign Media Owners

Canada: New Short Selling Rules To Become Effective On 30 November 2018

Draft UK Short Selling Regulation Amendment (Brexit)

Updating of the Belgian Takeover Rules

Company fined by Hong Kong SFC over naked short selling

Standards bodies to map Isins to Legal Entity Identifiers

Saudi Arabia CMA launches consultation on foreign investment instructions

Net Short Position Notification Thresholds for Sovereign Issuers

Hong Kong SFC amends takeover codes effective immediately

Philippine Stock Exchange to launch short-selling regime

MiFID II: Temporary Period For LEIs to end in July, 2018, ESMA says

FCA discusses role of fintech in achieving a level playing field

MAS releases new Short Selling Regulations, effective 1 October

ESMA Publishes Updated Q&A on Short-Selling Regulation

Argentina: Changes to Short Selling

ESMA Publishes Updated Net Short Position Notification Thresholds for Sovereign Issuers

ESMA publishes analysis of public disclosure of net short positions

ESMA agrees position limits under MIFID II

TDA: EU to create the European Electronic Access Point

ESMA updates Q&A on commodity derivatives in MIFID II

ESMA gives SSR technical advice

Securities Commission Malaysia and Bursa Malaysia to implement new measures to boost market vibrancy

ESMA's proposals and evaluation of the EU SSR

Disclosure lapses: Sebi settles cases with 3 entities

Belgium: FSMA publishes questions and answers on takeover bids and the MAR

India: Sensitive Industries - Update on Foreign Investment in India

SEC releases Q4 2017 13F List

Kenya: Securities Lending and Borrowing & Short-Selling Regulations Expected to Enhance Liquidity in Capital Markets

Changes to UK Takeover Code

ESMA issues Technical Advice on Short-Selling Regulation

Dubai's financial market launches regulated short selling

MIFID II: ESMA updates on commodity derivatives

Liberbank: short-selling ban to be lifted as of Nov. 21

ESMA releases final report on the MMF Regulation

SEBI plans automated disclosure mechanism

PSE to launch short-selling

Abu Dhabi bourse introduces technical short-selling

ESMA releases "Application of the UCITS Directive" Q&A

ESMA agrees to prolongation of short-selling ban by Spanish CNMV

ESMA publishes responses to EU Short-Selling Regulation Consultation

Updates to South Korean Short Selling Regulation, Including Increased Fines

Disclosure obligations under US Section 13(D) and 13(G)

HKEX updates list of Securities Designated for Short Selling

Securities and Exchange Board of India (Sebi) fines Maharashtra Polybutenes Rs 20 lakh

Spanish regulator (CNMV) expands ability to file electronically

ESMA consults on the evaluation of the short-selling regulation

Q2 2017 - New Navigation Bar, FundApps Tasks, 13G Form, Hong Kong Stock Exchange Issued Shares, Stock Lending & Borrowing.

SFC says it will review HK's short-selling rules

US hedge fund in anonymous bet against Tesco shares

China: SZSE publishes Q&A on implementation of the Share Reduction Regulations

European Union: ESA To Introduce New Rules When Increasing Holdings In Financial Sector Targets

China introduces new negative list for FTZ foreign investment

Spanish Regulator Forbids Short-Selling Of Liberbank Shares

FundApps Whitepaper: A Guide to MiFID II Position Limits

Bermuda: Proposed revisions to beneficial ownership disclosure

China strengthens regulation on stock-selling by major shareholders

KRX to launch portal on shortselling

New Zealand: Consultation on substantial product disclosures by Fund Managers

Bermuda: consultation paper on proposed revisions to beneficial ownership disclosures

ESMA Publishes Updated Net Short Position Notification Thresholds for Sovereign Issuers

Abu Dhabi Securities Exchange delays short-selling

Middle East: Short selling makes quiet start after Saudi debut

BaFin releases new Administrative Fine Guidelines

Saudi Arabia: covered short selling permitted under new regulations

Iceland: EU short selling regulation to be implemented

Q1 2017 - Position Limits, Updated Dashboard, Stock Lending & Borrowing, Data Overrides, Rule Commentary And More!

Switzerland: new rules on disclosure of substantial shareholdings delegation of voting rights

Malaysia to expand short-selling of govt securities from May 2

FCA announces new UK TR-1 form

ESMA provides implementing details for SFTR

Indonesia: New Rule on Share Ownership Reporting in Public Companies

Malaysia mulls short selling expansion

Saudi bourse to start new settlement period, short-selling on April 23

Malaysia considers expanding short-selling of sovereign debt

Kuwait Plans to Introduce Short-Selling

Hong Kong: Mandatory electronic filing of disclosure of interests notifications

South Korea: Overheated short selling rules come into force on 27th March, 2017

Transparency of beneficial ownership of Hong Kong companies to be enhanced

FundApps launch position limits service

Switzerland: Changes to the notification obligations for those with discretionary voting power

Changes in Hong Kong short position reporting

Turkish CMB announces amendments to Material Events Disclosure requirements

Korea FSC Gets Tough on Short-selling

Australia: Consultation on increasing transparency of the beneficial ownership of companies

ESMA issues opinion on UCITS share classes

ESMA launches new Q&A tool

ESMA issues country guide on TDA

Cayman Islands beneficial ownership register up for debate

Dutch regulator mistakenly reveals short positions

SFTR: New EU regulation set to hit securities financing and wider collateral markets

The CMVM temporarily bans short-selling of BCP shares

Singapore: Proposed Disclosure of Beneficial Ownership

Hong Kong Consults On Beneficial Ownership Plans

Q4 2016 Product Roundup - Custom Threshold Warnings, Rapptr Notifications, Dutch Issuer Data, New Disclosure Forms

Hong Kong: SFC publishes updated user guide on short position reporting

Dubai Financial Market to Permit Short Selling

Technical problems: Norwegian shortsellers unable to fulfil disclosure requirements

Biggest financial merger of 2017: SEC and CFTC

Hong Kong: Pilot test on expanded Short Position Reporting

Singapore: Consultation Paper on Regulations and Guidelines for Short Selling available

Co-operation Agreement between the FCA and the Hong Kong Monetary Authority

Cayman Islands: Government seeks public input on beneficial ownership

FCA Promotes RegTech

A recording of FundApps' involvement in a conversation about shareholding disclosure regulatory challenges is available.

Singapore moves Securities and Futures amendment bill for first reading

Implementation of the EU short-selling regulation in Norway

TDA - New Transparency Rulebook in Ireland

Adoption of beneficial ownership disclosure by African countries

European tax authorities to gain access to beneficial ownership information

Korea's FSC toughens short-selling and disclosure rules

Isle of Man bowing to pressure to set up beneficial ownership database

FundApps Comes to New York!

From the Content Team: How do the new TD2 rules work

Why promoting Hong Kong shareholder activism matters

Issuer Requests: Now Automated - Automatically calculate your holdings for an issuer with the click of a button

Q3 2016 Product Roundup - Product Roadmap, Issuer Requests, Rule Release Date And Approval Workflow, And New Disclosure Documents

From the Content Team: Shareholding Disclosure in Sweden

UK's Takeover Panel is a watchdog that badly needs teeth

The new single year high for SEC enforcement actions

SFC reminder on expanded Short Position Reporting

From the Content Team: Delta Hedging in Japan

The $14bn Deutsche Bank fine - all you need to know

The changing landscape of major shareholding reporting in Europe

From the Content Team: The 'Florange Law' and Double Voting Rights

FundApps: Understanding Swedish Disclosures

Morgan Stanley Hit by Hong Kong Regulator

Deutsche Bank Faces CFTC Sanctions Over Swap-Data Report Lapses

CMA to reduce foreign investment restrictions by the end of year

Schroders fined $1.6m by Hong Kong's SFC

Industry Limits Israel: Banking sector threshold change from 5% to 7.5%

The Effects Of Short-Sale Disclosure Rules On Investor Behavior And Stock Prices

Brexit And Short Selling Disclosures

ValueAct pays $11 million to settle U.S. stock purchase probe

FCA offers cloud support

Q2 2016 Product Roundup - Rule Commentary, Filing Workflow, Disclosure Form Transactions, Issuer Register, And Rapptr Stats.

Implementation of the new short selling Korea disclosure obligation

British Virgin Islands now available on RuleFinder. Implementation in Rapptr to follow

New short selling disclosure obligation in South Korea

The Market Abuse Regulation

Stiff fine for short-selling failures

Alliance Trust confirms approach by Jacob Rothschild

FAQs on Beneficial Ownership under QFII/RQFII Regime

Malaysia: Koon discloses big stake buy in Focus Lumber after 4 weeks

"Disclosure In The Digital Age: Time For A New Revolution", SEC Commissioner Kara M Stein, Denver, Colorado

New UK laws, which came into force on April 6th, impose an obligation publicly to disclose the ultimate beneficial owners

The mainland market's maturity is lowering the cost of capital, leading some New York-listed Chinese companies to go private and go back home.

Investors suffer in the Vincent Bolloré game of thrones

Q1 2016 Product Roundup - Reasons for Result Rejections & Deactivating Rules, Timezones, Issuer Data, and much much more!!!

U.S. regulator sues ValueAct over Halliburton-Baker Hughes disclosures

BSE to suspend trading in 8 companies from Apr 20

Delhaize Group press release - Disclosure of major shareholding

India: Forfeiture Of Partly Paid Up Shares - Exemption From Takeover Regulations

Banco BPI trading suspended amid CaixaBank talks

Elliott Faces Probe Over Alleged Violation In Samsung Merger Deal

New Rapptr Feature: Eliminate Time Zone Math

UK Publishes Draft Regulations for Registers of People with Significant Control Over UK Companies & LLPs

Short-sellers circle Singapore's stock market

Switzerland: Amended Disclosure Regime For Major Shareholdings

Proposed securities regulations would obstruct global capital flows, firms say

Q4 2015 Product Roundup - Automated Forms, Regulator Details, Umbrella Portfolio, Regulatory Data

One big market casualty: China regulators' reputation

Why Short Selling Can Make You Rich But Not Popular

Zimbabwe: Nssa Boss Fights for Zimre Rights Issue Reversal

Amid China's Crackdown, Securities Reform Quietly Gathers Pace

Northquest Ltd. Responds to Insider Bid and Intention to Requisition a Shareholder Meeting by Nord Gold N.V.

Dubai Financial Services Authority Reminds Investors of their Obligations

Should You Fear the ETF?

Hong Kong securities regulator proposes expanded short position rules

Finra Fines Deutsche Bank Securities Unit $1.4 Million

Gold Plated TDAD - risks associated with the "known unknowns"

[Video] SEC Chair White: Short Selling Gets Continuous Attention

IDR: Sebi comes out with shareholding disclosure format

The Future Of Weighted Voting Rights Structure In Hong Kong

Q3 Product Roundup - Transactions, Single Sign-On, Rule Comparisons, Multiple Disclosure Deadlines & More RegData!

SEC Adopts Rules to Permit Crowdfunding

Sebi fines entities in non-disclosure cases

NYSE Pleads for Rules to Make Hedge Funds Reveal Short Positions

SABMiller plc ("SABMiller") and Anheuser-Busch InBev SA/NV ("AB InBev") Agreement in principle and extension of PUSU deadline

Finland: FFSA Adopts Strict Approach Against Delays In Obligation To Disclose Changes In Shareholding And Voting Rights

China-Based Company and CEO To Pay $55.6 Million for Inaccurate Disclosures

SEC Proposes Liquidity Management Rules For Mutual Funds And ETFs

Updates to the Australian foreign investment framework

New Support telephone number: +44 20 3637 2177

Bangladesh now available on RuleFinder

Rapptr Q2 Product Round-up: Rule Approval tweaks, Data Overrides powerup, Takeover Panels taking over the world, Portfolio Viewer insights

Pakistan - New Securities Act 2015 enacted

Ireland - Commencement of the Companies Act 2014 on 1 June 2015 - new disclosure threshold

Qatar - New M&A rules issued

Poland - National short-selling restrictions and disclosure requirements abolished

Saudi Arabia: Stock market opening to foreign investors in June 2015

India: SEBI announces new insider trading regulations for India major shareholdings reporting

Rapptr new functionality round-up: Improvements to Asset Data Overrides, Result Details, Previous Uploads, Disclosure Generation

BaFin fines Blackrock $3.52 million for "misjudgement of German disclosure obligations"

FCA: Implementation of the Transparency Directive and other Disclosure Rule and Transparency Rule changes

Japan: Clarification of final disclosure requirement for short selling

The additional Polish short-selling restrictions which existed on top of the EU Short-Selling Regulation will be removed as per 30th January, 2015.

Rapptr product round-up: Disclosure Filing, Data Overrides, Rule history & Rule Context Help

Sweden - new guidelines for determining sanctions for breaches of EU Short-Selling Regulation

UK Takeover new disclosure forms to be used from 1st January 2015

Financial Market Conduct Act in NZ will replace the current substantial shareholding disclosure regime under the Securities Markets Act

Net short position notification thresholds for sovereign issuers updated by ESMA

Panama now available on RuleFinder

SEC Announces Charges Against Corporate Insiders for Violating Laws Requiring Prompt Reporting of Transactions and Holdings

Rapptr product round-up: Previous upload improvements, UI refresh, rule deactivation, export validation results, missing data analysis...

Portugal, Luxembourg and UK all ban the short sale of Banco Esprito Santo Shares

Extension of government regulatory control on foreign investments in France

Consob to monitor trading activities on Banca MPS shares

Hong Kong's SFC has reprimanded and fined Deutsche Bank HK$1.6m for regulatory breaches and internal control failings

Zimbabwe now available on RuleFinder

Central Bank of Ireland: AIFMD Questions and Answers 9th Edition 2 May 2014

Temporary prohibition of short selling in shares issued by Fiat S.p.A.

HCMC announcement regarding Eurobank Ergasias SA Short Selling

Greece - new procedure for notifying net short positions to the HCMC

Jordan now available on RuleFinder

Temporary prohibition of short selling in shares issued by Banca Popolare di Milano scarl (BPM)

New Rapptr features: Position Changes, Portfolio Aggregation and Portfolio Import/Export

ESMA Q&A on guidelines on ETFs and other UCITS issues

ESMA consults on major shareholders disclosures

ESMA Application of the AIFMD

Guidelines on Short Selling Monetary Authority of Singapore

ESMA issues Q&A on application of AIFMD

Turkey - new legislation entering into force on 23 February 2014

Central bank of Ireland publishes first UCITS Q&A

FCA imposes temporary ban on short-selling of Banco Popolare shares

Consob has imposed a temporary short-selling ban on Banco Popolare shares on the MTA

U.K. Loses Court Fight Over EU Powers to Ban Short-Selling

ESMA publishes updated list of measures adopted by competent authorities on short selling

Legislative changes to the Dutch shareholding disclosure regime per 1 January 2014

Spain to take action against short sales in Bankia

Revision of the provisions on diversification of collateral in ESMA's guidelines on ETFs and other UCITS issues

Risk Measurement and Calculation of Global Exposure and Counterparty Risk for UCITS

European Commission releases report on the evaluation of short selling, Regulation (EU) No 236/2012

Korean short-selling ban on financial stocks lifted from Thursday 14th November

Japan moves inline with Europe with 0.2% Short selling threshold and 0.1% thereafter, becoming public after 0.5%. Taking effect from the 5th Nov.

Argentina's update of the Major Shareholding thresholds to any changes over 5% comes into effect.

The UK Takeover panel increases it's scope of Issuers requiring disclosure.

New Rapptr features added: Industry Limits, Enhanced User Privileges and Audit Trail

ESMA clarifies final guidelines on reporting obligations under AIFMD

13F Securities list updated for the 3rd Quarter for disclosure to SEC on Nov 15th

UK Takeover Code amendments to take effect on Monday 30th September

FundApps launches AIFMD monitoring & reporting package: Monitor leverage, cash movements and prospectus rules. Annex IV reporting

EU watchdog should not have power to ban short-selling-adviser

New Rapptr features added: Simultaneous checking of portfolios, improved page loading times, upload status screen, hyperlinks for regulatory lists and more

ESMA publishes new Sovereign Debt Limits

Greece to lift short-selling ban on July 15

Short selling ban Banco Espirito Santo and Espirito Santo Financial Group

Gross short selling limits begins in Netherlands 1st July

FCA updated SSR disclosure form, 10th June

AFM and Consob have banned the short sale of Saipem S.p.A

New Rapptr features added: New incidents screen, export to excel for results, rule version comparison screen, hyperlinks for takeover panels

Swiss Federal Act amended to extend disclosure obligations for companies whose shares are "mainly listed" in Switzerland

Greece extends Short Selling ban till 31st July 2013

ESMA updates Sovereign Debt Outstanding levels 1st May

Japan - FSA extends temporary measures to restrict shorting

Consob bans short-selling of Banca Monte dei Paschi di Siena's shares until April 3rd

ESMA: Q&A on ETFs and other UCITS issues

Central Bank of Ireland UCITS notices February 2013: No material changes to legislation

France updates email address for Major Shareholding disclosures

Greece extends Short Selling Ban to 30th April

CNMV Not to extend short selling ban

ESMA: Report and consultation paper on guidelines on ETFs and other UCITS issues

Netherlands delays gross short-selling

Austria lowers initial MS threshold to 4%

ESMA publishes opinion on interpretation of Art. 50(2)(a) of UCITS Directive

ESMA finalises guidelines on repo arrangements for UCITS funds

New EU-Short Selling reporting in place

France to include CFDs in MS from 1st Oct

ESMA Q&A about EU Short Selling regime

Updated Short Selling Ban in Italy & Spain

New short position reporting in S. Korea

UCITS V proposals due on 3rd July

New short position reporting in HK

EFAMA positive on ESMA ETF guidelines

Short selling ban lifted in Ireland

Italian short selling restrictions on financial stocks extd to 24/02

Italy bans naked short selling

France favours beefed-up Ucits rules

European regulator may remove ETFs from Ucits

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