Regulatory Newsletter

Hong Kong Exchanges and Clearing Limited (HKEX) announced yesterday that new enhancements to position limits will take effect on 22…

The SEC adopted new Rule 13f-2 to provide greater transparency into Short-Selling. Rule 13f-2 will require institutional investment managers that…

The SEC adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of…

For investors tracking their shareholder identification obligations required by EU issuers under SRD2:  Note that ESMA and the EBA have…

The SEC has recently reopened the comment period for position reporting of large Security-Based Swap (“SBSs”) positions (proposed new Rule…

Last week, the SEC adopted two new rules related to the security-based swaps (SBS) markets, namely Rule 9j-1 and Rule 15fh-4(c)….

categorizing its approx. EUR 75 million in total revenue as well as 75 million in total expenses. The agency created…

The European Securities and Markets Authority (ESMA) has published an updated practical guide on notifications of major holdings under the…

This is a reminder that if you have any investment adviser representatives (“IARs”) registered in a jurisdiction that adopted the…

The Australian government has opened a consultation on a publicly available beneficial ownership register. On the first phase, the Government…

• More than 80% of industry respondents — ESG ratings providers, users, and companies rated — favor EU regulatory intervention…

The Hong Kong Exchanges and Clearing Limited (HKEX) published yesterday (28.07.2022) conclusions to its consultation on the revision of its…