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EU Short Selling Reporting Threshold Lowered to 0.1%

Regulatory Insights, Shareholder DisclosuresBy Trevor Dempster 13 January 2022

Due to increased volatility on the financial markets in 2020 triggered by the COVID-19 pandemic, ESMA decided to temporarily lower the reporting threshold of 0.2 % to 0.1 %, effective from 16 March 2020. The temporarily lowered reporting threshold of 0.1 % was effective until 19 March 2021, after which the reporting threshold was set back to 0.2 %.

Are you ready for dual disclosures after the Brexit transition period?

Investment Compliance, Regulatory InsightsBy Trevor Dempster 16 December 2020

As we move closer and closer to a no-deal Brexit, the likelihood is, that come the end of the UK’s transition period for leaving the EU (1st January 2021), major shareholders will need to consider a number of new factors to ensure they are making the correct disclosure to the correct competent authority of the issuer.