Blogs
Posts tagged with Avoid reputational damage
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’ ...
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 ...
Hong Kong Short Positions: A Teachable Moment
Hong Kong regulator Securities and Futures Commission (SFC) issues fine for failure to ensure short position reports (SPRs) under the Securities and Futures Short Position ...
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.
Spanish SCRIP Dividends
A favourite amongst Spanish Banks, SCRIP dividends allow investors the option to receive additional shares instead of receiving a cash dividend.
Navigating Trading Calendars for Position Limits
If you trade large amounts of contracts on more than a few different exchanges then keeping track of calendar information can be a very labour intensive and risky task.
ESMA Renews Reduction of EU SSR Limit
Due to the adverse effects of the COVID-19 pandemic, ESMA has renewed its decision requiring net short position holders to report positions of 0.1% and above.
Capital Markets Modernisation Taskforce Releases Final Report
The Ontario Government has established the Capital Markets Modernization Taskforce. Their report covers the improvement of regulatory governance, modernisation of the capital ...
Do You Know Your Total Cost of Ownership? (Part 2: On Prem)
Here we look at the potential TCO for purchasing an off-the-shelf system that will be installed on your own servers (so called “On Premises” or “On-Prem”).