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).
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FundApps' letter to His Majesty’s Treasury (HMT) after a call for evidence was issued to improve the UK’s Short Selling Regulation (SSR).
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.
Dave Polonsky gives a run through of the new, proposed changes to beneficial ownership and short-selling reporting by the SEC.
The Securities and Exchange Commission proposed new Rule 13f-2 to increase market transparency regarding short selling.
The long-anticipated lowering of the threshold for short disclosure is coming into effect by the end of the month.
The European Securities and Markets Authority (ESMA) proposes a permanent lowering of the net short position threshold under the EU Short Selling Regulation (SSR).
The European Securities and Markets Authority (ESMA) intends to permanently lower the disclosure threshold for net short positions to 1%.
Australian short selling reporting to the Australian Securities & Investments Council (ASIC) through the Foreign Investment eXchange (FIX) protocol ‘position report’ messages.
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).
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.
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.
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%.