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Filing Manager

Our Products | Our Products |

One-click short selling disclosure

Imagine being able to automate global short selling disclosure with just one click?

Whether it is 10s or 100s of short selling disclosure that need doing, filing with multiple regulators is time consuming and prone to error. With emails, documents and portals just some of the moving parts, it is easy to make a mistake and then have to start all over again or face a fine.

Recent regulations and proposed rules such as the SEC's 13f-2 demonstrate an increased appetite from regulators to enhance market transparency and gain greater insight into short selling activities.

The time to automate is now.

how it works | how it works |

Filing manager uses client-provided data and provides a fully audited service to file for the client. Diagram explaining how it works.

 

How FundApps Filing Manager works

Filing Manager automates the disclosure process for short selling reporting.

It uses the client-provided data and provides a fully audited service to file for the client - so a compliance team member doesn't have to.

It identifies disclosures for short positions once the position file runs and prepares them to be submitted to the relevant regulator. The system identifies when it is 'Disclosing' (when the data is submitted to the regulator but are still awaiting confirmation) and 'Filed' (when confirmation is received from the regulator).

Key features

 

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When to disclose

Have clarity and consistency of when to disclose whether it is daily, T+ 1, from position date or only when the threshold is crossed.

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What to disclose

Rules vary across the globe and Filing Manager ensures you submit the right data points in the right format

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Where to disclose

Submitting short disclosure reports across different jurisdictions means portals, SOAP, FIX, API, logins and passwords. We know where.

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Secure, seamless data transfer

Automated data submission direct from firm to regulators including ASIC, SFC and the FCA.

Our accreditations 

Reduce risk, cost, burden

We continue to push the regulators to reduce the compliance burden for short selling disclosure.

This includes recently submitting recommendations to the UK Call for Evidence such as bulk uploads via API. positive lists (not FIRDS + Exempted Shares List + ESS List) and limiting it to larger companies.

We're also excited about what ESMA is doing including the 'proposed establishment of a centralised notification and publication system of NSPs' which will help 'improve the transparency of EU markets' and 'strengthen the capacity to react to crises'.

Our Filing Manager system provides significant time savings and proposals like the above will mean more time saved and improved accuracy.

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