Blogs
Posts tagged with Asset manager
Will Delegation Affect My Disclosure Obligations?
Automate aggregation requirements for entities that have delegated management or voting authority.
How to Achieve Maximum Headroom for your Sensitive Industries Monitoring
Our automated Sensitive Industries service now includes our popular Room-In-A-Name (RIAN) feature, enabling users to see how much can be traded before a disclosure has to be ...
SPACs and what you need to disclose under Section 13 of the SEA
Special Purpose Acquisition Companies (SPACs) are on the rise, but SPAC data providers are not about to provide necessary SPAC reporting under Section 13 of the Securities ...
Brexit - Part 4 - What Did We Learn?
Keeping pace with all of the regulatory changes that took place as the result of Brexit was no easy task, as we discovered over the past 18 months! Here are 6 key things that ...
Has The Time For The AI Compliance Officer Arrived?
Innovative technologies have transformed the financial industry at all levels, and the compliance officer's role is no different.
Japan says “I do” to FEFTA
In an effort to promote foreign direct investment whilst protecting national interest, Japan has unveiled its new streamlined “Foreign Exchange and Foreign Trade Act'' ...
Brexit - Part 3 - What Are The Regulatory Impacts of Brexit?
Here we discuss FCA’s position on Brexit and the impact of Brexit on the Substantial Shareholding Disclosure regime, the EU Short Selling regulation, takeovers panels, ...
5 Reasons Why You Are Missing Disclosures
We highlight some of the most commonly overlooked aspects of Shareholding Disclosure and how they can lead to the risk of fines and reputational damage.
CaaS: Utilising the Power of the Cloud
As financial markets continue to globalise, the changing nature of regulatory requirements means that firms' approaches to compliance must be reconsidered.