Blogs
Posts by Karl Schindler
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?
New US short selling rules bring challenges for compliance officers: expanded reporting, XML filings, issuer thresholds, and daily position tracking.
Why (proper) shareholding disclosure doesn't end at delegation
Delegation is common practice in investment management, especially for endowments and pensions. Unfortunately, it is not as simple as it seems.
Will Delegation Affect My Disclosure Obligations?
Automate aggregation requirements for entities that have delegated management or voting authority.
Hong Kong Short Positions: A Teachable Moment
Hong Kong regulator Securities and Futures Commission (SFC) issues fine for failure to ensure short position reports (SPRs) under the Securities and Futures Short Position ...
CaaS: Utilising the Power of the Cloud
As financial markets continue to globalise, the changing nature of regulatory requirements means that firms' approaches to compliance must be reconsidered.
CaaS: Closing the Gap Between Practice & Interpretive Decision-Making
The gap between practice and regulatory interpretation can be closed by having a common interpretive framework, codified in a single rule set, with an ability for ...
The Pitfalls of Coding Your Own Rules (Part 2)
Here we discuss the complexities of maintaining regulatory data in detail & address the importance of enlisting domain expertise necessary to ensure compliance.
CaaS: The Power of Community
When it comes to shareholding disclosure, it is almost impossible for a lawyer in a given jurisdiction to cover every consideration a firm must face.