On 8 December 2020, FR AMF updated guidance page on the EU regulation on short selling. Including updated excel file containing the history of net short positions made public.
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E.U. – ESMA Updated List of Short-Selling Exemptions
On 7 December 2020, EU ESMA issued an updated list of market makers and authorized primary dealers using the exemption in regulation on both short selling and CDS.
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U.K. – FCA MiFID Commodity Positions
On 7 December 2020, UK FCA updated position limits for commodity derivative contracts. Limits established under markets financial instruments regulations 2017 (MIFI regs). Limits revised in line with RTS 21, states they should be reviewed when there is major change in open interest, deliverable supply, other significant change in market. Changes reflect changing market conditions,…
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Canada – CSA Activist Short Selling Concerns
On 3 December 2020, CSA consulted on activist short selling impact on markets. CSA issued consultation paper to facilitate discussion of concern re activist short sales. The paper sets out findings from CSA research, on the subject, which began in 2019. Summarizes stakeholder concerns, Canadian and international regulatory frameworks. Background Activist short selling involves taking…
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Brazil – CVM Failure to Disclose Stock Sale
On 1 December 2020, BRZ CVM imposed fine for failure to disclose stock sale. BRZ CVM found Jonas Spritzer Amar Jaimovick and Spritzer Consultoria Empresarial Eireli (SCEE) violated of art. 12, paragraph 1, 4 of CVM Instruction 358/021. Respondents failed to inform Ideiasnet SA of the sale of shares in the company. Violative Conduct Ideiasnet…
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U.S. – SEC 13F Threshold Proposal May Be Down But Not Yet Dead
On 10 July 2020, the SEC released for comment a proposed rule that would change the reporting threshold for Form 13F...full article.
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