Resources

ESMA Proposes Permanent Lowering of SSR Threshold

The European Securities and Markets Authority (ESMA) intends to permanently lower the disclosure threshold for net short positions to 1%.

by Andrew Kim May 26, 2021 Read More

Don’t Get Caught Short Reporting to ASIC - FundApps Have You Covered Down Under

Australian short selling reporting to the Australian Securities & Investments Council (ASIC) through the Foreign Investment eXchange (FIX) protocol ‘position report’ messages.

by Jonny Bradshaw Apr 16, 2021 Read More

Hong Kong Short Positions: A Teachable Moment

Hong Kong regulator Securities and Futures Commission (SFC) issues fine for failure to ensure short position reports (SPRs) under the Securities and Futures Short Position Reporting Rules (SPR Rules).

by Karl Schindler Mar 5, 2021 Read More

ESMA Renews Reduction of EU SSR Limit

Due to the adverse effects of the COVID-19 pandemic, ESMA has renewed its decision requiring net short position holders to report positions of 0.1% and above.

by Ross Murray Sep 17, 2020 Read More

Webinar: How to Manage Short Selling Regulation Correctly

For many working in regulatory compliance, there’s barely a chance to stay on top of the need to file the next disclosure, let alone time to review the process.

by Jonny Bradshaw May 15, 2020 Read More

Covid-19: What is the Regulatory Impact?

In response to the COVID-19 pandemic, there have been a number of regulatory changes. This includes several short selling bans and a lowering of Italy's substantial shareholding disclosure threshold from 3% to 1%.

by Kallie Price Mar 20, 2020 Read More

Never Get Caught Short in Hong Kong

When calculating short selling exposure to determine reportable positions in Hong Kong, rates change daily, so keeping on top of the official values each time exposure is calculated is a challenge for any manual process.

by Ben Richards Nov 16, 2018 Read More

Short Selling in Singapore?

Monetary Authority of Singapore updates Guidelines on the Regulation of Short Selling, section 321 of the Securities and Futures Act (Cap. 289)

by Chuck Wong Sep 12, 2018 Read More

Transparent Shorts

Across the globe, every country with a stock exchange has some form of major shareholding (US: beneficial ownership) disclosure regulation.

by Andrew White Mar 19, 2018 Read More

Updates to South Korean Short Selling Regulation

Further to our blog post back in March on Korean short selling, the FSC, Korea’s Financial Services Commission, is planning further updates to the short selling regimes to be implemented this year, including increasing possible fines.

by Ben Richards Aug 24, 2017 Read More

New Iceland Short Selling Rules in July 2017

Iceland has confirmed its decision to incorporate the regulation into national law through a financial circular.

by Lorraine Chimbga Apr 20, 2017 Read More

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 to restrictions on trading.

by Ben Richards Mar 23, 2017 Read More

Case Study: A Swiss Asset Manager

Regulation: ASIC Short Position Reporting

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ESMA Proposes Permanent Lowering of SSR Threshold

Don’t Get Caught Short Reporting to ASIC - FundApps Have You Covered Down Under

Hong Kong Short Positions: A Teachable Moment

ESMA Renews Reduction of EU SSR Limit

Webinar: How to Manage Short Selling Regulation Correctly

Covid-19: What is the Regulatory Impact?

Never Get Caught Short in Hong Kong

Short Selling in Singapore?

Transparent Shorts

Updates to South Korean Short Selling Regulation

New Iceland Short Selling Rules in July 2017

Overheated Short Selling in South Korea

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