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Short Selling Financial Markets

Proskauer - Regulatory & Compliance

Regulation Round Up - November 2023

Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. ...more

Dechert LLP

ESAs publish Q&A on the SFDR RTS

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Commission Delegated Regulation (EU) 2022/1288, setting out the regulatory technical standards (RTS) to be used by financial market participants (FMPs) when disclosing sustainability-related information under the Sustainable...more

A&O Shearman

European Securities and Markets Authority Publishes Report on Short Selling Regulation Review

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The European Securities and Markets Authority has published a report on its review of certain aspects of the EU Short Selling Regulation. The review was prompted by the volume of short selling that occurred around the...more

Jones Day

Australian Financial Services Regulatory Update - July 2021

Jones Day on

This edition of the Update covers: Key Legal and Regulatory Developments Financial Markets The Australian Regulators Reiterate Their Expectations for a Smooth Transition Away From LIBOR On 4 June 2021, ASIC, APRA, and the RBA...more

White & Case LLP

Short selling bans and market restrictions – Considerations for investors

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A number of regulators across the globe responded to recent market volatility by introducing temporary short selling bans and/or market restrictions. Such bans have since expired as of 18 May 2020. Other regulators (including...more

Dechert LLP

FCA Enforcement Outlook for 2021

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Amid the uncertainty brought about by the end of the Brexit transition period and the ongoing COVID-19 pandemic, firms should be aware that the FCA will retain an active approach to financial crime and regulatory enforcement...more

Dechert LLP

New York Appellate Court Decision Offers Guidance for Investors Who Comment Publicly on Stocks in Which They Have a Financial...

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In recent weeks, so-called “meme stocks” have demonstrated how statements by investors on social media can have an outsized impact on stock prices. Regulators have said that they are monitoring extreme volatility in certain...more

Burr & Forman

Stonk Trading’s Not a Game

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During the height of the GameStop (NYSE: GME) mania, Slate author Jordan Weissman explained that “[A]t a moment that the markets are being overrun, for better or worse, by posters who’ve basically dedicated themselves to...more

Thomas Fox - Compliance Evangelist

GameStop and Compliance: Part 5 – Lessons Learned

I think the GameStop phenomenon portends a seismic shift in many areas. It may well be a turning point in markets and investments. Where it will be going, I do not think anyone knows right now but everyone needs to be...more

Thomas Fox - Compliance Evangelist

GameStop and Compliance: Part 3 – The Squeeze

I think the GameStop phenomenon portends a seismic shift in many areas. It may well be a turning point in markets and investments. Where it will be going, I do not think anyone knows right now but everyone needs to be...more

Spilman Thomas & Battle, PLLC

When Davids on Social Media Topple the Goliath of Wall Street

Social media started out as a way to connect with old friends and distant relatives. Not anymore. Now, social media is being weaponized by everyday people to topple the giants of Wall Street. Recently, posters on Reddit and...more

Robins Kaplan LLP

Financial Daily Dose 1.28.2021 | Top Story: GameStop’s Wild Ride Continues, Pummeling Hedge Funds Along the Way

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GameStop’s continuing surge this week has gone from something of a lark to a collective small-trader effort to stick it to Wall Street hedge funds and institutionalists, with share-price fundamentals discarded entirely in...more

Hogan Lovells

Securities and markets regulatory news, January 2021

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UK SSR: Short Selling (Notification Thresholds) Regulations 2021 - The Short Selling (Notification Thresholds) Regulations 2021 (SI 2021/5) have been published, together with an explanatory memorandum....more

Hogan Lovells

Securities and markets regulatory news, December 2020 # 3

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UK Short Selling Regulation: notification threshold - HM Treasury has announced that it intends to lay a statutory instrument under the retained EU law version of the Short Selling Regulation (UK SSR) amending the initial...more

Hogan Lovells

Securities and markets regulatory news, September 2020 # 3

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FMI supervision: BoE policy statement on fees regime for 2020/21 - The Bank of England (BoE) has published a policy statement on the fees regime for the supervision of financial market infrastructure (FMI) that will apply...more

White & Case LLP

Short selling bans and market restrictions – Considerations for investors (Updated June 2020)

White & Case LLP on

A number of regulators across the globe responded to recent market volatility by introducing temporary short selling bans and/or market restrictions. Such bans have since expired as of 18 May 2020. Other regulators (including...more

White & Case LLP

Short selling bans and market restrictions – Considerations for investors (Updated May 2020)

White & Case LLP on

A number of regulators across the globe responded to recent market volatility by introducing temporary short selling bans and/or market restrictions. Such bans have since expired as of 18 May 2020. Other regulators (including...more

Akin Gump Strauss Hauer & Feld LLP

Termination of EU Short Selling Bans but 0.1% Net Short Reporting Continues

On 18 May 2020, the European Securities and Markets Authority (ESMA) announced the non-renewal of the emergency restrictions on short selling and similar transactions by the Finanzmarktaufsicht (FMA) of Austria, the Financial...more

Cadwalader, Wickersham & Taft LLP

COVID-19 Update: Restrictions on Short Selling in the UK and European Union - An Update

Introduction - Five EU member states have extended their temporary bans on short selling imposed in line with the emergency process permitted by the EU Short Selling Regulation, despite increased pressure from hedge funds...more

A&O Shearman

COVID-19: UK Financial Conduct Authority Confirms No Short Selling Ban (Yet)

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The U.K. Financial Conduct Authority has published a statement confirming that, in the wake to the COVID-19 pandemic, it is working with regulators in the U.S., the EU and elsewhere to ensure that the financial markets can...more

Akin Gump Strauss Hauer & Feld LLP

EU Short Selling Bans Prolonged

Further bans on all types of short selling have been extended by financial regulators in Austria, Belgium, France, Greece, Italy and the UK (in respect of the shares identified by the Spanish and Italian regulators) and now...more

Katten Muchin Rosenman LLP

Short Sale Restrictions – Response to Recent Market Volatility

In light of recent market activity, a number of non-US financial regulators have taken steps to temporarily ban short sales and enhance short sale reporting....more

Robins Kaplan LLP

Publicly Traded Companies Continue to Face High Volume of Securities Fraud Cases as Markets Tumble

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Recent tumultuous markets seem to have brought with them a continued flurry of stock drop cases, including five that were filed last week alone in New York, New Jersey, and California. The putative class actions, which seek...more

Hogan Lovells

Corporate News – August 2017

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FCA proposes a new premium listing category for sovereign controlled companies - On 13 July 2017, the Financial Conduct Authority published consultation paper CP 17/21 which proposes to create a new premium listing...more

Orrick - Finance 20/20

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

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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

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