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ESMA_QA_1926
Topic
Other SSR-related topics
10/10/2012
Subject Matter
Net short positions - Delegation to calculate the net short position by single legal entities performing both management and non-management activities
Question
According to Article 12(4) of the DR, the management entity level report specifically excludes from the calculation the positions of funds and portfolios the management of which is delegated to a third party and includes those of funds and portfolios the management of which has been delegated by a third party. Should the same approach apply to the single legal entity level report when that entity is performing both management activities and non-management activities, even though Article 12(5) of DR does not explicitly refer to Article 12(4) on delegation of management?
Level 1 Regulation
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
ESMA_QA_1925
Topic
Other SSR-related topics
10/10/2012
Subject Matter
Net short positions - Calculation and reporting by single legal entities performing both management and non-management activities
Question
How should net short position calculation and reporting be conducted when the same single legal entity performs both management and non-management activities?
Level 1 Regulation
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
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