On 4 April 2022, ESMA issued its final report on short selling regulation which follows which follows its previous consultation from 24 September 2021. Summary ESMA takes stock of experience gained during the Covid-19 outbreak and relates to emergency measures adopted by the relevant competent authorities (RCAs). Also ESMA’s temporary lowering of the notification thresholds…
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Netherlands – AFM Fines $275K for Failure to Report Short Selling
On 30 March 2022, NLD AFM issued €250k fine for short selling reporting failure. NLD AFM fined Merian Global Investors (UK) Ltd for not reporting short selling. Violations Fine imposed because of failure to comply with regulations on reporting net short positions from 8 October 2014 to 19 January 2018, in violation of short selling…
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U.K. – FCA Updates Reported Short Selling List
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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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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