ESMA is also publishing a list of liquid contracts that will receive a bespoke position limit
and it will continue to assess the notifications received and issue opinions in order to ensure that the position limits
are set in accordance with the MiFID II framework.
The SFC said, 'HSBC's breaches arose because, during the relevant time, there were no policies and procedures in place for position limit
monitoring and controls in relation to HKFE listed products and there was no staff responsible for monitoring the net open positions of HSCEI related products entered into by [HSBC's] house account.
In addition, the Financial Industry Regulatory Authority censured and fined BNP Paribas for deficiencies in its large option position reporting system and position limit
, and Citadel Securities on written supervisory procedure failures.
It also raised the daily net open position limit
for banks from 0.
5 (discussing recent lawsuit challenging position limit
on the spot-month position limit
levels currently in place at designated
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In order to check undue concentration in a particular security and to prevent manipulation, the committee has proposed scrip wise position limit
In particular, the commission's Notice on Proposed Rulemaking contains so-called "crowding out" provisions that mean that hedgers who receive an exemption from the position limit
can hold no speculative positions at all.
Gensler said new position limit
rules could be proposed as soon as this fall.
16 announced settlement with the Commodity Futures Trading Commission (CFTC) over charges that the co-op manipulated Class III milk futures contracts and exceeded a speculative position limit
Trading in the OTC market has no position limit
at all and is largely not subject to federal oversight.