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).
Stuck between being a B-Corp & a RegTech - Position Limits & the EU Carbon Markets
Call for ESMA to impose position limits on carbon emissions amidst hedge fund speculation.
TL;DR EBA’s RegTech Outlook
The European Banking Authority (EBA) published an analysis of the RegTech landscape in the EU highlighting key opportunities and challenges.
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
How to monitor exemptions and custom limits for MiFID II and CFTC Position Limits for derivatives.
Missing Data in Position Limits - How we solve one of the industry’s biggest problems
How to overcome missing data for MiFID II and CFTC Position Limits for derivatives.
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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.