Short Selling

News & Analysis as of

UK Financial Regulatory Developments - February 2016 #4

ESRB approves expansion of macroprudential policy framework - ESRB has published two recommendations relating to expanding the European macroprudential policy framework. The first concerns the counter-cyclical buffer...more

UK Financial Regulatory Developments - January 2016 #5

ESAs correct PRIIPs KID formulae - The European Supervisory Authorities (ESAs – EIOPA, ESMA and EBA jointly) have published corrections to two of the formulae in their consultation on draft regulatory technical standards...more

Your daily dose of financial news The Brief – 1.15.16

Goldman Sachs is ready to close a major lingering chapter of financial-crisis-era litigation, announcing yesterday that it’s agreed to a civil settlement of $5 billion to resolve claims related to its “marketing and selling...more

ESMA Publishes Peer Review Report on Compliance with SSR Regarding Market Making Activities

On January 5, the European Securities and Markets Authority (“ESMA”) published a peer review report aimed at assessing how national competent authorities (“NCAs”) apply the exemption for market making activities foreseen in...more

SFC Proposal to Widen the Scope of the Short Position Reporting

On 27 November 2015, the Securities and Futures Commission of Hong Kong (the “SFC”) published the “Consultation to expand the scope of short position reporting and on the corresponding amendments to the Securities and Futures...more

Ban on Short Selling Shares of Five Greek Banks Extended

On December 7, the European Securities and Markets Authority (ESMA) published an opinion agreeing with the Greek regulator, the Hellenic Capital Markets Commission (HCMC), that the ban on short selling shares in five Greek...more

Who Is That Masked Short Seller?

Lisa Silverman, Managing Director at K2 Intelligence, discusses SEC chair Mary Jo White’s recent comments regarding requiring disclosures by short sellers. Currently the SEC requires institutional investors and hedge funds to...more

Financial Services Weekly News - October 2015 #3

Regulatory Developments: FINRA Requests Comment on Rules Relating to Financial Exploitation of Vulnerable Adults - On Oct. 15 FINRA published Regulatory Notice 15-37, requesting comment on proposed amendments to...more

Latest Developments in Corruption Enforcement in China

The past quarter has been an active one for Chinese government enforcement activities, and the year ahead promises more of the same. Recent developments include: the strengthening of Chinese bribery laws, increased action...more

New Greek Ban on Shorting Shares of Five Greek Banks

On September 30, the Greek national financial regulator, the Hellenic Capital Markets Commission (HCMC), announced that is has imposed an extended ban on the short-selling of Greek bank shares––by any persons anywhere in the...more

ESMA Confirms Renewal of Short Selling Ban by Greek HCMC and Market Making Exemption

On August 3, the European Securities and Markets Authority (ESMA) issued an official opinion (Opinion), agreeing to renew for a further four weeks the emergency short selling prohibition originally imposed by the Hellenic...more

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