Blogs
Posts by Ben Richards
GICS Changes in March to Impact Sensitive Industries Monitoring
The Global Industry Classification Standard is changing 17 March 2023, and investment management companies will need to reflect changes to stay compliant.
Applying Expertise Beyond Regulatory Guidance
We explore how FundApps have established a regulatory framework for how an investment should or should not be included in a Shareholding Disclosure check.
Monitoring Position Limits with a Difference - The FundApps Way
An overview of FundApps vs. Competitors in the Position Limits monitoring space
Spanish SCRIP Dividends
A favourite amongst Spanish Banks, SCRIP dividends allow investors the option to receive additional shares instead of receiving a cash dividend.
Delta Adjusting Options On The Hong Kong Stock Exchange
The requirement to delta adjust options when monitoring against the position limits on the Hong Kong Stock Exchange is not as straightforward as first may appear.
Introducing our Global Company Database
Integrated with GLEIF, the “Global Companies Database” takes all the available information and super charges it with data relevant to compliance and beyond.
Target the source of denominator-checking pain
The Automated Community Denominator Check (AC/DC) utilises our Community to highlight differences between the Denominator values (e.g total shares outstanding, total voting ...
Position Limits on the Hong Kong Stock Exchange
In this post, we touch on some of the nuances that exist when monitoring holdings listed on the HKEX, including netting, aggregation, and calculating contract exposure.
CFTC and MiFID II Position Limits
With the impending implementation of MiFID II, many questions are still unanswered.