Blogs
Let’s Talk SEC: A ‘short’ update - what the experts are saying now
Grab the headline items from FundApps' recent Let's Talk webinar. Our panel of legal experts answered around extraterritoriality, Threshold B, opinion timeframes and so much ...
US Short Selling: will 13f-2 be partially or completely vacated?
Join FundApps’ expert panel webinar on Oct 22 2024, to discuss SEC short selling rules and hear Andy Haldane speak at Compliance LEADR in November.
When Sensitive Industries contains more Known Unknowns than Known Knowns
Explore the challenges and solutions of navigating the intricate landscape of Sensitive Industries, and gain a deeper understanding of the complexities.
Would you make the cut with your Sensitive Industries knowledge?
The Olympics have parallels with Sensitive Industries in terms of dominant countries & diverse qualifying criteria. If it was a sport, would you make the cut?
REGION LEADR: Big Shareholding Disclosure Takeaways for Key Regions
Explore key takeaways from Let's Talk: LEADR webinar, covering key regions like Japan, the EU, & the US and stay informed on regulatory changes & market trends.
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.