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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.

by Felix Blumer Oct 14, 2022 Read More

SEC Proposes Changes to Section 13 and Short Sale Requirements

Dave Polonsky gives a run through of the new, proposed changes to beneficial ownership and short-selling reporting by the SEC.

by Liam Driscoll Mar 3, 2022 Read More

SEC Proposes Short Sale Disclosure Rule

The Securities and Exchange Commission proposed new Rule 13f-2 to increase market transparency regarding short selling.

by Meryl Rastall Feb 25, 2022 Read More

ESMA’s lowering of the SSR minimum threshold from 0.2% to 0.1%

The long-anticipated lowering of the threshold for short disclosure is coming into effect by the end of the month.

by Andrew Kim Jan 25, 2022 Read More

Permanent Lowering of ESMA’s SSR Threshold is on the Horizon

The European Securities and Markets Authority (ESMA) proposes a permanent lowering of the net short position threshold under the EU Short Selling Regulation (SSR).

by Amber Adam Oct 20, 2021 Read More

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

Case Study: A Swiss Asset Manager

Regulation: ASIC Short Position Reporting

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

SEC Proposes Changes to Section 13 and Short Sale Requirements

SEC Proposes Short Sale Disclosure Rule

ESMA’s lowering of the SSR minimum threshold from 0.2% to 0.1%

Permanent Lowering of ESMA’s SSR Threshold is on the Horizon

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

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