On 20 August 2020, the Swedish regulator, Finansinspektionen fined Humea AB SEK 93,700 for late transaction reporting of shares in Enzymatica AB.
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Taiwan – FSC Margin Purchase/Short Selling
On 20 August 2020, TAI FSC implemented the amendments to margin purchase / short selling rules. Background TAI FSC announced upcoming amendment to standards governing eligibility of securities for margin purchase and short sale, in response to market demand and suggestions. To relax criteria for eligibility, OTC companies with paid-in capital of over NTD600mn do…
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Eurex Euro Position Limit Reporting
On 13 August 2020 Eurex defined reporting and position limits for September 2020. Eurex issued fixed income futures, definition of reporting and position limit, September 2020. Position and Reporting Limits Position limits apply to long positions in front month contracts of concerned products. Reporting limits valid 31 August 2020 after trading close until 3 September…
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Short Selling Ban Extension
Rulefinder reports an extension to existing short selling ban in Turkey.
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Sweden FI Fines for Late Short Selling Reporting
On 14 August 2020, Rye Bay Capital LLP was fined SEK 10,000 for having notified the Swedish Financial Supervisory Authority late that a short net position in shares in Peab AB fell below a relevant disclosure threshold.
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U.S. – NYSE Fines for Failure to Properly Calculate Long Position
Two Sigma violated securities exchange act (SEA) 14e-4, Arca 11.18, and Amer 320. Arca order related to Two Sigma failure to correctly account for in the money call options position when calculating net long position required under 14e-4, 17 CFR 240. Violation of NYSE Amer Rule 320 committed by failure of Two Sigma to establish,…
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