On 11 January 2021, UK FCA issued UK list of exempted shares with regard to reporting.
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France – Update on Short Selling Guidance
On 7 January 2021, FR AMF updated guidance page on the EU regulation on short selling. Including updated excel file containing the history of net short positions made public.
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E.U. – ESMA MiFID Transparency Calculations
On 8 January 2021, ESMA published first post-Brexit transparency calculations. ESMA issued first financial instruments transparency system (FITRS) file since Brexit. Follows ESMA January 2021 issued FIRDS files after end of transition period. FITRS Equity transparency calculation results delta file (DLTECR) has updated transparency calculation results for equity instruments with a UK venue as most…
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U.K. – Gov’t Short Selling Reporting Threshold Lowered
On 6 January 2021, UK GVT lowered initial short notification threshold to 0.1%. UK GVT issued the short selling (notification thresholds) regulations 2021. Purpose Amended retained EU regulation 2012/236 on short selling and certain aspects of credit default swaps, commonly known as the short selling regulation (SSR). Lowered initial notification threshold from 0.2% to 0.1%…
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Rulefinder Identifies Short Selling Ban Effective Today
On 6 January 2021, Rulefinder identified a short selling ban.
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U.K. – FCA Shareholding Disclosures
On 28 December 2020, UK FCA issued updated indicative list of instruments subject to the shareholding notification requirement under FSMA S 89F(1)(b), and according to DTR 5. The list, as of 1 January 2021 includes: transferable securities; options; futures; swaps; forward rate agreements; contracts for differences; any other contracts or agreements with similar economic effects…
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