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Filing Manager

One-click short selling disclosures

Automate the disclosure process for short selling reporting. Filing Manager identifies disclosable positions using portfolio data, provides a fully automated service to file, and notifies when reports are ‘disclosing’ and ‘filed’ - all so that your compliance team doesn't have to.

The time to automate is here

The introduction of new regulations and amended thresholds - 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. 

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

 

Filing Manager provides clients the full picture...

1st

When to disclose

Gain front and center visibility into disclosure timelines, from daily, to T+1, to those calculated from position date and more.

2

What to disclose

With changing thresholds, different rules, and niche requirements, Filing Manager ensures you submit the right data points in the right format. 

3

Where to disclose

Submitting short-sale disclosures across different jurisdictions means an array of portals, SOAP, FIX, API, logins and passwords. We'll handle it. 

Secure. Seamless.

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

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.

Reduce Risk, Cost & Burden 

Speak to us about our Filing Manager service

Filing Manager Blogs

Short Selling Regulation Review: Our Response to the Call for Evidence
Filing Manager
5 mins

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).

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Hong Kong hedge fund fined HK$1.75mn by SFC for EU short selling breach
Filing Manager
2 mins

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.

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From the Content Team: Japanese Delta Hedging
Filing Manager
3 mins

From the Content Team: Japanese Delta Hedging

This post explains the exemption on sales of shares in connection with long convertibles, in the Japanese short selling disclosure regime.

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