ESMA_QA_1924
Topic
Other SSR-related topics
10/10/2012
Subject Matter
Net short positions - Reporting by funds managed by the same management entity
Question
Are funds (or portfolios under management) managed by the same management entity expected to report net short positions?
Level 1 Regulation
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
ESMA_QA_1892
Topic
Scope
13/09/2012
Subject Matter
Financial instruments covered
Question
What financial instruments are covered by the net short position notification and disclosure requirements, and the restrictions on uncovered short sales? Is there a list available and where can it be found?
Level 1 Regulation
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
ESMA_QA_1891
Topic
Scope
13/09/2012
Subject Matter
Shares of companies in scope
Question
Do shares of all companies traded on markets in the Union fall under the net short position notification and disclosure requirements under Articles 5 and 6, and the restriction on uncovered short sales of Article 12 of the regulation?
Level 1 Regulation
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
ESMA_QA_1890
Topic
Scope
13/09/2012
Subject Matter
Third country branches
Question
How do the net position requirements impact on third country branches where there is not a distinct legal entity in the EU or no relationship with subsidiaries in other EU jurisdictions except having the same parent?
Level 1 Regulation
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
ESMA_QA_1889
Topic
Scope
13/09/2012
Subject Matter
EU Sovereign CDS trades booked outside the EU
Question
Does the Regulation impact EU sovereign CDS trades booked outside the EU (e.g. Head Office in NY or Tokyo) but executed by traders in the EU (where a single global CDS book is run)?
Level 1 Regulation
Short Selling Regulation (SSR) Regulation (EU) No 236/2012