EU Financial Regulatory Q&A Database
Official Q&As published by EBA, ESMA, EIOPA and the ESA Joint Committee. Non-binding but treated as authoritative guidance by national competent authorities across the EU.
72 Q&As matching current filters · page 1 of 2
Calculation of Net Short Positions in case of issuers with non-listed shares
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2024-09-17
Identification of the relevant competent authority
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2018-11-14
Easy-to-borrow list and locate arrangement
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2018-05-28
Shares - Covering a short sale with claims to as yet unissued shares (subscription rights, convertible bonds)
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2018-02-05
ETFs
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
GDRs and ADRs
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Net short positions - Meaning of position holder and reporting entities
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Credit Linked Notes
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Calculation of net short positions held through derivatives on sovereign debt
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Positions in UCITS
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Futures on a basket of sovereign bonds
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
“Publicly available information” on an index, basket of securities or ETF composition
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Issued share capital and saving shares
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Instruments giving claims to shares not yet issued (Subscription rights, convertible bonds)
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Equivalence decision for third countries
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Uncovered Credit Default Swap - Replacement trades on sovereign CDS concluded before 25 March 2012
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Uncovered Credit Default Swap - Use of sovereign CDS index
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Uncovered Credit Default Swap - Use of a sovereign CDS position to hedge different risks
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Uncovered Credit Default Swap - Static hedging through the holding of a sovereign bond
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Uncovered Credit Default Swap - Differences in durations of the sovereign CDS position and the hedged exposure
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Put on hold confirmation in the context of intra-day short sales
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Main national indices for the purpose of Article 6(4) of the ITS
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Net short positions - Reporting by groups
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Record keeping of the relevant evidence on a durable medium
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Telephone call registrations as adequate durable medium for retaining evidence
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Covering a short sale and rolling of a repo
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Offsetting a net long position in a sovereign issuer with a net short position in another sovereign to which it is highly correlated
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Delta adjusted positions in derivatives
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Meaning of debt instruments issued by a sovereign issuer
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Shares pledged as collateral
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Net short positions - Reporting by a legal entity within a group when the group no longer cross a threshold
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2013-01-29
Change in a net short position already notified
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Net short positions - Simultaneous crossing of threhsolds at group and legal entities levels
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Net short positions - Net short positions arising from non-management activities and calculation at group level
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Calculation of the amount of outstanding debt on a duration adjusted basis
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Calculation of the duration-adjusted net short position
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Duration formula to use in the calculation of net short positions
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Rounding net short positions expressed in percentages
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Correlation test between two sovereign issuers
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Net short positions - Reporting by a legal entity within a group
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Net short positions - Calculation and reporting for a group constituted only of legal entities performing exclusively management activities
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Net short positions - Meaning of investment strategies
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Net short positions - Delegation to calculate the net short position by single legal entities performing both management and non-management activities
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Net short positions - Calculation and reporting by single legal entities performing both management and non-management activities
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Net short positions - Reporting by funds managed by the same management entity
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Change in the duration of the position held and notification requirements
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Interest rate swaps
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-10-10
Notifications of net short positions existing prior to the application of the Regulation
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
EU Sovereign CDS trades booked outside the EU
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Application outside the EU and to non-EU persons
Short Selling Regulation (SSR) Regulation (EU) No 236/2012
Answered 2012-09-13
Source: EBA Single Rulebook Q&A, ESMA Q&A, EIOPA Q&A, ESA Joint Q&As. Updated weekly. Q&As are non-binding guidance.
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