September 1, 2021 CFTC Cracks Down on Position Limit Violations The CFTC imposed a $1.5 million fine on a major global food processor for position limit and related violations. See…
August 18, 2021 EU Short Selling Regulation’s Disclosure Threshold On August 12, the European Commission concludes its public feedback period, for a proposed lowering of the EU Short Selling…
July 1, 2021 UK Suggests More Pronounced Split From EU Financial Services Rules, Post-Brexit Today the Chancellor of the Exchequer, Rishi Sunak, stated in a speech in London: “[O]ur ambition had been to reach…
June 24, 2021 ESMA Upcoming Milestones Financial entities affected by EU law: Take note of ESMA’s handy summary of upcoming deadlines for submitting consultation feedback. Check…
June 21, 2021 Let’s See All the Cards: Pre-Trade Monitoring and Position Limits A recent advancement in position limit compliance encapsulates the term “RegTech” quite well. Pre-trade monitoring – tracking orders before they…
June 1, 2021 Position Limits Changes in the EU Commodity derivative investors: More big changes on the horizon for position limits in Europe. As we anticipated, we know the…
May 3, 2021 EU Relaxes its MiFID II Position Limit Regime 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 Short Selling Saga: Market Volatility & Compliance The Big Short. Or Long. Whatever your strategy, the drama currently being played out between hedge funds and retail investors —…
October 12, 2020 Texas Outlaws and a Silver Bullet: Position Limits in the USA In this first installment on position limits, Regulatory Guidance expert Greg Hotaling surveys the current landscape of position limits imposed…
October 12, 2020 EU Position Limits: Born in the USA? 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 Brexit: Implications for Shareholders with Threshold Interests As yet another deadline approaches for the United Kingdom to either leave the European Union with a withdrawal agreement in…
October 2, 2019 Running Toward the RegTech Revolution I like to get to conferences early when I can. It lets me absorb the local environment, which often informs…