On 23 March 2022, UK FCA issued an updated list of short selling positions disclosed to them.
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U.K. – FCA Publishes Updated Short Selling List
On 21 March 2022, UK FCA issued an updated list of short selling disclosures.
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Spain – Proposed Changes to Substantial Shareholding Form
On 15 March 2022, the CNMV opened a public consultation to amend the substantial shareholding disclosure form (Model I). Background: Form would now include information regarding holdings of loyalty shares that grant double voting rights. The proposed new substantial shareholding disclosure form is available in English and Spanish on page 6 of the draft circular,…
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Thailand – SEC Merger, Takeovers Updates
On 18 March 2022, Thai SEC updated securities/derivatives merger/takeovers/acquistion rules. Thai SEC updated criteria for securities and derivatives operator mergers/takeovers/acquisitions. Follows Thai SEC August 2020, issued rules on mergers, takeovers, and acquisitions. Summary Securities/derivatives business operators can apply for a license or pre-registration request to enable merged firms' continued operations once incorporation is complete. Will…
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Rulefinder Alerts to Temporary Short Selling Ban
On 21 March 2022, Rulefinder alerted subscribers to a temporary short selling ban in S Korea. Ban is effective 22 March.
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U.K. – FCA Short Selling Position Reporting
On 16 March 2022, UK FCA issued an updated list of short positions disclosed to them. Background: UK entered transition period on 31 January 2020, which ends at 11pm on 31 December 2020. During the transition period, the EU short selling regulation (regulation (236/2012) (SSR) continues to apply in UK, including the market making exemption.…
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