Blogs
CFTC clamps down on Position Limits violations
CFTC, the U.S derivatives markets regulator, issues large fine to Tyson Foods for violating position limits monitoring due to aggregation errors.
Permanent Lowering of ESMA’s SSR Threshold is on the Horizon
European Securities and Markets Authority (ESMA) proposes a permanent lowering of the net short position threshold under the EU Short Selling Regulation (SSR).
Position Limits & the EU Carbon Markets | FundApps
Read more about our call as a B-Corp and RegTech for ESMA to impose position limits on carbon emissions amidst hedge fund speculation, and what this could mean.
Aggregation, Regulation… don’t forget Delegation!
Understand delegator relationships across corporate hierarchies and global jurisdictions, and how they impact shareholding disclosures.
Monitoring Position Limits with Exemptions & Custom Limits
Discover how to monitor exemptions and custom limits for MiFID II and CFTC with our new position limits feature for derivatives to avoid penalties and fines.
How To Overcome Missing Data in Position Limits | FundApps
Special Purpose Acquisition Companies are on the rise, but data providers won't provide reporting under Section 13 of the Securities and Exchange Act of 1934.
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Will Delegation Affect My Disclosure Obligations? | FundApps
Find out more about automated aggregation requirements for entities that have delegated management or voting authority in our series on delegation & disclosure.
Don’t Get Caught Short Reporting to ASIC - FundApps Have You Covered Down Under
Australian short selling reporting to the Australian Securities & Investments Council (ASIC) through the Foreign Investment eXchange (FIX) protocol ‘position report’ ...