On 28 November 2023, UK FCA issued an update on recent UK Treasury activity re short selling regulations 2023 and 2024, response on sovereign debt/credit default swaps. Following its Short Selling Regulation Review call for evidence, UK Treasury laid statutory instrument which increases notification threshold for reporting of net short positions to FCA from 0.1%…
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About: Anna Monteiro
Recent Posts by Anna Monteiro
U.K. – Treasury Short Selling Notification
UK Treasury Short-selling (notification threshold) regulations 2023 (StIn 2023/1258). Follows UK Treasury Dec. 2022 call for evidence on short selling rules. Also follows UK FCA Nov. 2023 update on the short selling regulations. Amends onshored SSR, increasing the notification threshold for the reporting of net short positions to the UK FCA from 0.1% to 0.2%…
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RRS Ready for New US SEC Filing Requirements
On 30 November 2023, Solutions Atlantic released system and rule updates to RRS to meet the updated reporting obligations for US SEC Schedule 13D and 13G filers and the new short selling rule 13f-2.Read the full article.
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S Korea – KRX Distributes Explanatory Materials on Short Selling
On 28 November 2023, KRX said that it has distributed explanatory materials on the short selling reform measures discussed during the 16 November 2023 meeting. The materials detail discussions by securities-related organizations on how to address the tilted playing field of short selling conditions, short selling computer system. Related organizations including KRX will collect opinions…
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U.K. – FCA & PRA Consultation: Supervisory Statement and Guidance on Qualifying Holdings
On 23 November 2023, UK FCA, UK PRA consulted on replacing EU guidelines. UK FCA and UK PRA issued consultations on proposals to replace EU guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in financial sector (3L3 guidelines) with a new PRA supervisory statement (SS) and FCA guidance. Background EBA, EIOPA,…
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U.K. – FCA Short Selling Regulations
On 23 November 2023, UK FCA issued an update on the short selling regulations. UK FCA issued an update on the Short selling (notification threshold) regulations 2023 and on the government's draft statutory instrument – Short selling regulations 2024. Also issued an update on UK Treasury's response with the government’s final policy position for short…
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