Blogs
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
Position Limits cover the purchase and trading of a broad set of derivatives across asset classes and instruments. Where did it all start?
Short Selling Regulation Review: Our Response to the Call for Evidence
FundApps' letter to His Majesty’s Treasury (HMT) after a call for evidence was issued to improve the UK’s Short Selling Regulation (SSR).
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.
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.
Position Limits keep vying for the compliance spotlight, and for good reason
Our latest blog focuses on how derivatives limit monitoring is still a moveable feast and needs to be kept on top of, highlighting changes in 2022.
What happens when you host your first in-person events in three years?
We've summarised a few magical moments and the behind-the-scenes effort that goes into hosting our in-person events that make it all worth it.
Hong Kong hedge fund fined HK$1.75mn by SFC for EU short selling breach
A Hong Kong hedge failed to make 155 notifications to the FCA and 153 disclosures to the public of its net short position in Premier Oil.
US Client Conference 2022: Key Takeaways
Our AMER client conference included innovative workshops, interactive sessions and an opportunity to connect to the fellow compliance professionals.