In May the Australian Takeovers Panel published a response statement to the proposed amendments to GN20.
The SEC has proposed to raise the disclosure threshold for 13F filings from $100m to $3.5bn. Is this the death knell of transparency into investment behaviour?
Similar to many investments during our lifetime, it is vital to consider the short and long term benefits of choosing a compliance-as-a-service solution.
In our experience TCO is something that financial institutions are shockingly bad at calculating/estimating. The larger the institution the more difficult it becomes.
Here we discuss the complexities of maintaining regulatory data in detail & address the importance of enlisting domain expertise necessary to ensure compliance.
FundApps' new Sensitive Industries service automates alerts for compliance professionals who are subject to industry specific investment restrictions.
Regulation is ever evolving and can change at short (or no) notice. As a result, coding your own rules poses several risks.
Given the unprecedented effects of the COVID-19 pandemic, the current state of Brexit negotiations are providing a working example of what can happen when it is unclear who ...
In unison with the reduced ESMA reporting thresholds and outright short-selling bans seen across Europe, it is arguable that Covid-19 is acting as the largest regulatory ...