Short Selling Restrictions – Staying Ahead of the Regulatory Curve

The market disruption due to COVID-19 placed extraordinary strains on reporting regimes. Periodic bans and reduced thresholds presented an additional burden for financial firms, and challenges for compliance departments to keep track of rapidly changing position limits, thresholds by market and timely disclosures. View this first of a two-part exploratory webinar series on the recent short selling restrictions and what’s next on the regulatory horizon.

Topics include:

The latest on short selling restrictions and how compliance teams have been affected Insights and best practices from CSS’s Global Threshold Management software tool
With short selling bans expiring, what’s next on the regulatory horizon, and how to be prepared?

Speakers

Mike Marmo, Product Manager, CSS
Mike is responsible for guiding the product development life cycle, implementing key regulatory functionality, and setting the product road map. Mike has 14 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.

Greg Hotaling, Regulatory Compliance Expert, CSS
Greg is a Compliance SME (Subject Matter 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 2018 “HFM Best RegTech Solution” award-winner that facilitates compliance with shareholder disclosure and position limit rules around the world. Prior to joining CSS, Greg practiced law as a corporate and securities attorney in New York for 10+ years.

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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