Our one click short selling disclosure solution. FundApps Filing Manager header. Blue dots

Filing Manager: One-click short selling reporting

Automate short sale disclosures globally without the manual mess.

The time to automate is now

Whether it is 10s or 100s of 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 amended 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.

Thats where we come in...

FundApps' Filing Manager helps you meet short selling reporting obligations with speed and accuracy. Whether you are shorting futures, trading derivatives, or disclosing hedge fund shorting activity, we make sure you stay on top of it.

How FundApps Filing Manager works

Filing manager automates the disclosure reporting process. 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 once the positions 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).

FundApps Filing Manager uses the client-provided data and provides a fully audited service. Number 1 in front of a wavelength created by pink dots.

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.

FundApps Filing Manager ensures you submit the right data points in the right format. Number 2 in front of a wavelength created by pink dots.

What to disclose

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

FundApps Filing Manager identifies disclosures for short positions. Number 3 in front of a wavelength created by pink dots.

Where to disclose

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

Secure & seamless

Automated data submission direct from our platform to regulators including ASIC (AU), BaFin (DE), FCA (UK), FI (SE), MAS (SG), SEC (US) and SFC (HK).

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.

At FundApps we ride the extra mile, helping financial service companies with our automated solutions. Man biking under pink blossom trees.

…I can highly recommend their people and solution to any firm, large or small, which deals with shareholding disclosures. At FundApps the team is always ready to go the extra mile to fit your need. More importantly, they will think with you. My experience with them has been nothing but EXCELLENT!

Vik D, Group Compliance Officer

Dutch Insurance Group

FundApps has allowed our organisation to stay on top of time sensitive disclosure requirements, alert us to approaching threshold breaches, accommodate rule changes in jurisdictions across the globe and provide audit trails on historical disclosures...

Kai Chu, Senior Compliance Analyst

Ontario Teachers’ Pension Plan, Canada

FundApps has simplified the complexities of shareholding disclosure regulations into one intuitive, easy to use platform and provides continued support from both their customer success team and content team when required.

Charlotte Sneddon, Risk Information & Reporting Manager

Quilter, United Kingdom

...With the help of FundApps, we can commit to delivering high-quality investment outcomes to our clients. We're excited about joining FundApps’ compliance community and we look forward to working together.

Dirk Kaltschnee, Compliance Officer

Deka, Germany

FundApps’ Shareholding Disclosure service provides an intuitive and transparent solution to the ever-changing regulatory requirements we face. It will enhance our confidence in the filings we make, the integrity of the data used and the auditability of our shareholding disclosure reporting.

Manoj Chopra, Head of Risk Services

Vontobel, Switzerland

The combination of the Rule Commentary functionality, the explanation from FundApps and the detail provided about the rules from aosphere provides our business with a reliable solution that we can continue to use as our business grows.

Ben Battye, Chief Operations Officer

BennBridge, United Kingdom

Blue waves on a sandy beach. Relax with FundApps, as we help investment management firms to find solutions to make disclosure processes seamless.

...Using FundApps Filing Manager, my disclosures are ready to be submitted directly to the regulator at the simple click of a button. Once completed, I can view the filing status in one place with an entire audit trail, eliminating the need to cross-check various sources and validate the information submitted, making the entire disclosure process seamless.

Lynne Marchetti, Compliance Specialist

WCM Investment Management, United States

The SEC’s new filing system, EDGAR Next, will go live in September for managers everywhere. Filing cabinets with
EDGAR written in black across.

EDGAR Next is here

The SEC’s new filing system, EDGAR Next, will go live in September for managers everywhere. Compliance is required by September 15th.

CCLFG uses FundApps Filing Manager solution to reduce risks in compliance processes. Red leaf

FundApps develops Filing Manager with client CCLFG

Connor, Clark & Lunn Financial Group finds success and efficiency through a product sponsorship with FundApps, creating a new service, Filing Manager.

Short Selling Regulation Review: Our Response to the Call for Evidence

FundApps' letter to His Majesty’s Treasury (HMT) after a call for evidence was issued to improve the UK’s Short Selling Regulation (SSR).

Remove the stress from your short selling reporting

Whether you are managing significant net short positions in the EU, meeting FCA short selling thresholds, or staying compliant with Japan short selling rules, our platform automates the entire process and gives you visibility across all markets.

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