On 28 October, 2020, EU ESMA issued official translations of its renewal decision of 16 September 2020 to lower reporting thresholds of net short selling positions under art 28 of SSR.
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Sweden – FI Fines for Late Short Selling Notification
On 19 October 2020, the Swedish regulator, Finansinspektionen fined Suvretta Capital Management LLC for late short selling notification. Suvretta Capital Management LLC shall pay a special fee of SEK 25,000.
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U.K. – FCA Fines ARCM on Short Selling Disclosures
On 14 October 2020, UK FCA fined ARCM £873k over short selling disclosures. UK FCA fined Asia Research and Capital Management Ltd (ARCM) transparency failures This is the first FCA enforcement action, for breaches of short selling disclosure rules. Breaches The firm failed to notify the FCA and disclose to the public its net short…
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Sweden – FI Reporting Information FAQs
On 12 October 2020, SWE FI issued improved reporting Q&A information. SWE FI announced it had issued more easily accessible company reporting questions and answers on its website, improved structure to make information more transparent. Report page now has banking, insurance, markets, money laundering Q&A sections. FI regularly publishes new questions and answers to clarify…
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Sweden – FI Fines for Late Short Selling Reporting
On 5 October 2020, the Swedish regulator Finansinspektionen fined Cigogne Management late short selling notification. Cigogne Management S.A. shall pay a special fee of SEK 2,500,000.
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Sweden – Online Short Selling Reporting System Live
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…
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