Yearly Archives: 2018

Canada -IIROC Short Position Reports

On 26 October 2018, IIROC issued consolidated short position reports (CSPR). CSPR provide aggregate short position of all listed, quoted securities as of 15th, last day of each month on IIROC-submitted data by members, access persons. Follows IIROC March 2018 notice on short position calculation, reporting. Content of Report To include security name, symbol, listing…
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Germany – BaFin Updates Major Shareholding Form

With effect of 30 October 2018 amendments of the Securities Trading Reporting Regulation (Wertpapierhandelsanzeigeverordnung [WpAV]) and BaFin‘s Ordinance on Notifications of Major Holdings under sec. 33 et seq. WpHG (StimmRMV – so far available only in German) will enter into force.
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Cyprus – CSEC MIFID II SI Calculations

On 24 October 2018, CSEC issued circular on notification of systematic internalizer status. Informed Cyprus Investment Firms (CIFs) of notification they should submit to CSEC if they fall within definition of systematic internaliser in CIF Law, Art 2(1). Duty to notify CSEC under MIFIR Art 15(1), 18(4), CSEC then transmit to ESMA. Set out when…
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