8

  • Reprimand to Exane Asset Management for wrongful reporting of a net short position
    Emne:
    2019, Reprimands
    The Danish Financial Supervisory Authority (“Danish FSA”) has on 12 August 2019 issued a reprimand to Exane Asset Management for violation of article 9 of the European Parliament and Council Regulation (EU) No 236/2012 on short selling and certain types of credit default swaps (“the short selling regulation”).
  • Reprimand to Bloom Tree Partners LLC for not reporting a net short position
    Emne:
    2019, Reprimands
    The Danish Financial Supervisory Authority (“Danish FSA”) has on 12 August 2019 issued a reprimand to Bloom Tree Partners LLC for violation of article 9 of the European Parliament and Council Regulation (EU) No 236/2012 on short selling and certain types of credit default swaps (“the short selling regulation”).
  • Reprimand to OrbiMed Advisors LLC for wrongful reporting of a net short position
    Emne:
    2019, Reprimands
    The Danish Financial Supervisory Authority (“Danish FSA”) has on 11 July 2019 issued a reprimand to OrbiMed Advisors LLC for violation of article 9 of the European Parliament and Council Regulation (EU) No 236/2012 on short sell-ing and certain types of credit default swaps (“the short selling regulation”).
  • Reprimand to AHL Partners LLP for wrongful reporting of a net short position
    Emne:
    2018, Reprimands
    The Danish Financial Supervisory Authority (“Danish FSA”) has on 10 July 2019 issued a reprimand to AHL Partners LLP for violation of article 9 of the European Parliament and Council Regulation (EU) No 236/2012 on short selling and certain types of credit default swaps (“the short selling regulation”).
  • Order and reprimand to Squarepoint Ops LLC for failing to report a number of net short positions and for reporting incorrect net short positions
    Emne:
    Order, Reprimands
    The Danish Financial Supervisory Authority (“Danish FSA”) has on 29 April 2019 decided to issue an order and reprimand to Squarepoint Ops LLC for violation of Article 9 of the European Parliament and Council Regulation (EU) No 236/2012 on short selling and certain types of credit default swaps (the short selling regulation).
  • Reprimand to Valiant Capital Management, L.P. for not reporting net short positions in time
    Emne:
    2018, Reprimands
    The Danish Financial Supervisory Authority (Danish FSA) has on 17 October 2018 decided to reprimand Valiant Capital Management, L.P. for violation of Article 9 of the European Parliament and Council Regulation (EU) No 236/2012 on short selling and certain types of credit default swaps (the short selling regulation) by failing to report net short positions to the Danish FSA on time.
  • Reprimand to Park West Asset Management LLC for not reporting net short positions in time
    Emne:
    2018, Reprimands
    The Danish Financial Supervisory Authority (Danish FSA) has on 17 October 2018 decided to reprimand Park West Asset Management LLC for violation of Article 9 of the European Parliament and Council Regulation (EU) No 236/2012 on short selling and certain types of credit default swaps (the short selling regulation) by failing to report net short positions to the Danish FSA on time.
  • Reprimand to Old Mutual Global Investors (UK) Limited for not reporting net short positions in time
    Emne:
    2018, Reprimands
    The Danish Financial Supervisory Authority (Danish FSA) has on 24 May 2018 decided to reprimand Old Mutual Global Investors (UK) Limited for violation of Article 9 of the European Parliament and Council Regulation (EU) No 236/2012 on short selling and certain types of credit default swaps (short selling regulation) by failing to report several net short positions to the Danish FSA.