Short Selling Restrictions – Staying Ahead of the Regulatory Curve

In this episode, CSS’s Regulatory Compliance Expert Greg Hotaling and Product Manager Mike Marmo discuss the market disruption due to COVID-19, periodic short selling bans and reduced thresholds that forced compliance teams to adapt to rapidly changing position limits, thresholds by market and timely disclosures.

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About our Guest Speakers:

Greg Hotaling

Greg is a Regulatory Compliance Expert at CSS, addressing global regulatory matters relevant to the financial industry. Since its inception, Greg has led the regulatory research and content team for Signal, the Global Threshold Management platform that facilitates compliance with shareholder disclosure and position limit rules around the world.

Mike Marmo

Mike is a Product Manager at CSS, responsible for guiding the product development lifecycle, implementing key regulatory functionality, and setting the product roadmap for CSS’s Global Threshold Management solution, Signal. Mike has 15 years of FinTech experience and a strong background working with traders, portfolio managers, and back office personnel to implement financial solutions. Prior to joining CSS, Mike served as a Compliance Implementation Manager for Charles River OMS.