Blogs
Posts tagged with Avoid reputational damage
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.
Applying Expertise Beyond Regulatory Guidance
We explore how FundApps have established a regulatory framework for how an investment should or should not be included in a Shareholding Disclosure check.
Vendor Risks Financial Institutions are Facing in 2022
While having few vendors is logical, our blog provides some strong counter arguments as to why having a selection of strong vendors is the best way forward.
SEC Proposes Amendments to 13G and 13D Beneficial Ownership Reporting
An overview of the proposed changes to Section 13G and Section 13D by the SEC, the first of their kind in more than 40 years.
New CFTC Rules - Know Your Position Limits
Summary of the upcoming CFTC’s Final Rule changes. Includes new federal spot month position limits, updates to exchange-set limits and rules on economically equivalent swaps.
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
The European Securities and Markets Authority (ESMA) proposes a permanent lowering of the net short position threshold under the EU Short Selling Regulation (SSR).
Improve your productivity by 3x? Buy, don’t build
Improve your team's productivity 3 fold by adopting a cloud-native architecture and have your team focus on delivering new and better products.
Will Delegation Affect My Disclosure Obligations?
Automate aggregation requirements for entities that have delegated management or voting authority.