On 18 November 2020, EU ESMA issued notification thresholds for sovereign issuers.
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E.U. – ESMA Renews Lowered Short Selling Threshold
On 13 November 2020, EU ESMA issued the renewal decision of 16 September 2020, in EU OJ. Decision in force from 18 September 2020; applies from that date for a period of 3 months.
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France – AMF Enforcing Ban on Short Selling
On 2 November 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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U.K. FCA Net Short Position Reporting
On 28 October 2020, UK FCA issued guidance on net short position reporting. 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. Current Reporting Obligations During…
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E.U. – ESMA Short Selling Translations
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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