Regulatory Alerts2011-04-29 | RG-196RG 196 Short selling
The regulator issued this guide to provide an overview of the short selling provisions under the Corporations Act 2001 and Corporations Regulations 2001 as they apply to securities and certain financial products. It specifically addresses the prohibition on naked short selling as well as the associated reporting and disclosure obligations. The document is primarily intended for institutional investors and brokers involved in short selling activities.
Issued 8 October 2018
This guide contains an overview of the short selling provisions of the Corporations Act 2001 and the Corporations Regulations 2001 as they relate to securities, managed investment products and certain other financial products. In particular, it addresses the naked short selling prohibition and the reporting and disclosure obligations.
This guide is particularly relevant to institutional investors and brokers who are involved in short selling activity.
Download RG 196 (PDF 686 KB)