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Tag:
SHORT SELLING
SEC Proposes New Short Sale Disclosure Rules
February 28, 2022
On 25th February 2022, the Securities and Exchange Commission (SEC) announced proposals that would provide greater transparency to investors and…
SEC Propose Amendments to Schedule 13D & G Reporting
February 11, 2022
SEC Propose Amendments to Schedule 13D & G Reporting On the 10th February 2022, the Securities and Exchange Commission (SEC)…
EU Short Selling Reporting Threshold Lowered to 0.1%
January 13, 2022
Due to increased volatility on the financial markets in 2020 triggered by the COVID-19 pandemic, ESMA decided to temporarily lower…
Japan’s FEFTA Pre-Notification Requirements FAQs
September 3, 2021
In 2020, Japan tightened foreign investment rules with the amendments to the Foreign Exchange and Foreign Trade Act (FEFTA). When…
Refresher Series: Hong Kong Short Selling Reporting
April 19, 2021
Investment Managers need to ensure they have in place appropriate systems and procedures to ensure they meet the Hong Kong…
Overhaul of Global Shareholder Disclosure Rules – Part 1
November 6, 2020
In July, the SEC announced proposed amendments to 13F Reporting, to update the reporting threshold for institutional investment managers, as…
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