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Why the compliance challenge of aggregation is often underestimated

Why the compliance challenge of aggregation is often underestimated

Discover how aggregation plays a vital role in the LEADR framework and the obstacles financial institutions encounter in meeting regulatory compliance.

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Why the compliance challenge of aggregation is often underestimated
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The new US short selling rules: what’s going to be difficult for ...
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Where Data Gets Your Shareholding Disclosure Wrong
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SFC Announces Changes to Position Limit Regime
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Latest articles

Why the compliance challenge of aggregation is often underestimated

Why the compliance challenge of aggregation is often underestimated

Discover how aggregation plays a vital role in the LEADR framework and the obstacles financial institutions encounter in meeting regulatory compliance.

The new US short selling rules: what’s going to be difficult for compliance officers?

The new US short selling rules: what’s going to be difficult for compliance officers?

New US short selling rules bring challenges for compliance officers: expanded reporting, XML filings, issuer thresholds, and daily position tracking.

Where Data Gets Your Shareholding Disclosure Wrong

Where Data Gets Your Shareholding Disclosure Wrong

Discover the importance of data in shareholding disclosure and how it serves as the foundational pillar for compliance.

SFC Announces Changes to Position Limit Regime

SFC Announces Changes to Position Limit Regime

The first changes to the SFC Position Limit Regime since 2017 take effect on 22 December 2023, altering four major requirements for investment managers.

Why Community is the X Factor of Compliance

Why Community is the X Factor of Compliance

Discover the power of community in the financial industry and the benefits of collaboration. A strong and diverse community leads to innovation, productivity, and peace of ...

LEADR: 5 Pillars of Shareholding Disclosure

LEADR: 5 Pillars of Shareholding Disclosure

Introducing LEADR, a framework to assess your systems and processes for monitoring and reporting beneficial ownership.

Why you should care about the latest SEC disclosure regulations

Why you should care about the latest SEC disclosure regulations

The latest SEC disclosure regulations have brought significant changes to beneficial ownership reporting and short sale disclosure rules.

Why Derivatives Limit Monitoring Needs Automation

Why Derivatives Limit Monitoring Needs Automation

Any process that requires manual intervention to maintain, takes an inordinate amount of effort to keep working effectively.

Peeling Back the Layers of Position Limits

Peeling Back the Layers of Position Limits

Position Limits cover the purchase and trading of a broad set of derivatives across asset classes and instruments. Where did it all start?