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Showing 1 to 10 of 36 search results for firms failing to notify the FCA of a net short position.
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Information on investigations into firms failing to notify the FCA of a net short position - March 2021
The FCA answers questions related to investigations it has launched into firms failing to notify the FCA of a net short position for the last 5 years. -
2020 fines
This page contains information about enforcement fines published during the calendar year ending 2020. -
Primary Markets enforcement outcomes
A list of recent Primary Markets enforcement outcomes. -
Primary Market Bulletin 33
Welcome to the 33rd edition of the Primary Market Bulletin (PMB). -
About our data
The FCA publishes a wide range of data. Find out about the types of data available and how often it is published. -
Shareholding notification and disclosure
There are several transparency rules under Disclosure Guidance and Transparency Rules Chapter 5 (DTR 5). Find out more about how to make a shareholding notification, certain exemptions and submitting information. -
Business Plan 2023/24
The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy. -
Short selling
We have regulated short selling and certain aspects of credit default swaps (CDS) in the UK since 1 November 2012. Learn more about short selling and our powers. -
Exemptions from short-selling requirements
The EU Short Selling Regulation (SSR) introduced a private and public notification regime for investors. Learn more about exemptions, requirements, ESMA and SSR. -
Final Notice 2020: Asia Research and Capital Management Ltd [pdf]
This Final Notice refers to Asia Research and Capital Management’s failure to notify the FCA and disclose to the public its net short position in Premier Oil in breach of short selling disclosure rules. We have fined the firm £873,118.