FMA Sanctions for Late Substantial Shareholding to Issuer
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Luxembourg – CSSF Short Selling Notifications
On 4 February 2022, LUX CSSF issued amendment to the short selling notification threshold. LUX CSSF published circular 22/798, dated 1 February 2022, amending circular 12/548. Follows EU CMSN September 2021 adopted regulation re net short threshold. Also follows ESMA January 2022 issued statement on net short positions. Summary The amendment reflects the changes made…
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Rulefinder Reports New and Updated Short Selling Bans
On 4 February 2022, Rulefinder identified new and updated temporary short selling bans in issuers in Turkey.
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Isle of Man – FSA Beneficial Ownership Rules
On 1 February 2022, IOM FSA, IOM GVT issued beneficial ownership proposals. IOM GVT published a consultation on the proposed new Civil Penalties Regulations. Overview Feedback sought on measures to encourage compliance with beneficial ownership law. Broadens scope of Beneficial Ownership Act 2017 contraventions for which civil penalty can be considered, including where currently only…
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Hungary – CB Short Selling Positions Reporting
On 31 January 2022, HUN CB updated on reporting short net positions duty. HUN CB announced an amendment to EU reg on short selling positions reporting is in force. Investing companies and natural persons must report all net short positions that reach or exceed 0.1% of issued shares of listed company involved in the investment.…
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U.S. – SEC Comment Request for Form 13F
On 27 January 2022, SEC issued extension of info collection, revised burden estimates. Comments on collection due 30 days from publication of extension, by 26 February 2022. Background: On 14 December 2021, SEC issued a notice requesting comment on Form 13F. SEC issued a notice requesting comments on revisions to Form 13F, for institutional investment…
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