Blogs
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.
Where Data Gets Your Shareholding Disclosure Wrong
As part of our LEADR series covering the five pillars of Shareholding Disclosure, learn the importance of data & how it is a foundational pillar for compliance.
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
Discover the power of community & collaboration in the financial industry and why a diverse community leads to innovation, productivity, & compliance.
LEADR: 5 Pillars of Shareholding Disclosure | FundApps
Introducing LEADR, a framework to assess your systems and processes for monitoring and reporting beneficial ownership. Discover this new piece of technology.
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
Learn why derivatives limit monitoring needs automation & why a manual intervention process, takes an inordinate amount of effort to keep working effectively.
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?