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…
Read more
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.
Read more
U.K. – FCA Publishes Updated Short Selling List
On 21 March 2022, UK FCA issued an updated list of short selling disclosures.
Read more
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.
Read more
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.…
Read more
U.S – SEC Short Selling Disclosure Reporting
On 16 March 2022, the SEC issued proposal in federal register, comments by 26 April 2022. Background: On 25 February 2022, the SEC proposed to enhance short selling disclosure reporting. Proposed Rule 13f-2 and Proposed Form SHO Rule 13f-2 designed to provide greater transparency via publication of short selling data. By requiring manager to…
Read more