EFTASA renewed decision requiring disclosure of net short positions of 0.1% and over. Followed March 2020, ESMA issued decision on net short position holders. On same day, ESMA renewed decision on holders of net short positions. Threshold Temporarily requires holders of net short positions in shares traded on EEA EFTA states regulated markets to notify […]
On 30 September 2020, the Swedish regulator, Finansinspektionen fined Arnäs Management for inaccuracies in their reporting of transactions in shares and warrants in Briox AB and Lithium AB. Arnäs will pay SEK 55,000
On 25 September 2020, DEN FSA updated guidance on application form with more FAQs. Included questions on what it means for license to be conditional; and the obligations to which a holder of a license under s33 of Danish Financial Business Act are subject.
On 24 September 2020, SWE FI announced launch of new reporting system for short selling. SWE FI said to be able to report short net positions, position holders and reporters must create user accounts in the Reporting Portal and delegate permissions. The opportunity to report short net positions via email and form will expire in […]
On 23 September 2020, EU ESMA published opinions dated 2 September 2020 on position limits. ESMA’s opinions agree with the proposed position limits re: the EEX TTF Gas contract; the Nasdaq Oslo Nordic Power contract; and the Fish Pool Farmed Salmon contract.
On 18 September 2020, Thai SEC removed the restrictions on holding of investment units to reduce obstacles in expanding mutual fund size and compliance burden on businesses. Cancels restrictions on allocation and transfer of investment units, changes reporting requirements and amends the percentage of unit-holders holding investment units. The management company must not count the […]