On 28 February 2022, FCA issued Handbook Notice 96 on reporting, passports. UK FCA issued the Technical Standards (Markets in Financial Instruments) (Transaction Reporting) Instrument 2022 (FCA 2022/4), as part of its Handbook Notice 96. Follows FCA Dec. 2021 issued CP21/35 quarterly consultation paper 34. Transaction Reporting Following consultation in CP 21/35, FCA Board has […]
On 2 March 2022, Rulefinder alerted subscribers to a new temporary short selling ban in South Korean issuer WIMCO.
On 28 February 2022, Thai SEC revised the definitions for institutional investors. Thai SEC revised the definitions used for large and extra large institutional investor. Investor Definition Revision provides investors with access to more diverse fundraising and investments. Definitions will include those investors who have the ability to analyze and take risks in complex or […]
On 25 February 2022, SEC proposed to enhance short selling disclosure reporting. SEC proposed new SRT Rule 13f-2, and corresponding Form SHO, require institutional investment managers to report short sale and related information on a monthly basis. SEC would then make aggregate data about large short positions, including daily short sale activity data, available to […]
On 22 February 2022, SWE FI commented on inquiry consultation response. SWE FI commented on the final report of the foreign direct investment inquiry, which was published on 1 November 2021. Follows SWE FI May 2020 issued response to supplementary provisions. Summary SWE FI approves of the proposals made by the inquiry, but believes, however, […]
On 15 February 2022, POL FSA announced final decision on fine re GetBack. POL FSA confirmed that on 11 February 2022, it issued a final decision, upholding decision of 16 December 2020 on imposition of fine on the former member of board of GetBack SA. Follows POL FSA September 2021 reported on fines for former […]