September 1, 2021
The CFTC imposed a $1.5 million fine on a major global food processor for position limit and related violations. See…
Author: Greg Hotaling
August 18, 2021
On August 12, the European Commission concludes its public feedback period, for a proposed lowering of the EU Short Selling…
July 1, 2021
Today the Chancellor of the Exchequer, Rishi Sunak, stated in a speech in London: “[O]ur ambition had been to reach…
June 24, 2021
Financial entities affected by EU law: Take note of ESMA’s handy summary of upcoming deadlines for submitting consultation feedback. Check…
June 21, 2021
A recent advancement in position limit compliance encapsulates the term “RegTech” quite well. Pre-trade monitoring – tracking orders before they…
June 1, 2021
Commodity derivative investors: More big changes on the horizon for position limits in Europe. As we anticipated, we know the…
May 3, 2021
ESMA has recently suggested to national regulators across the EU that they de-prioritize enforcement of MiFID II position limits on…
January 29, 2021
The Big Short. Or Long. Whatever your strategy, the drama currently being played out between hedge funds and retail investors —…
October 12, 2020
In this first installment on position limits, Regulatory Guidance expert Greg Hotaling surveys the current landscape of position limits imposed…
October 12, 2020
This is the second installment of Regulatory Guidance Expert Greg Hotaling’s blog on position limits, this time addressing EU-listed commodity…
October 8, 2019
As yet another deadline approaches for the United Kingdom to either leave the European Union with a withdrawal agreement in…
October 2, 2019
I like to get to conferences early when I can. It lets me absorb the local environment, which often informs…