Sensitive Industries

Our service simplifies the process of monitoring sensitive industries and foreign ownership.

Position data is uploaded daily and users are alerted to pre-approval warnings, notifications for disclosure obligations and hard stops.

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Global Rule Coverage: our Sensitive Industry rules cover industries with special significance using legal information from aosphere (an affiliate of Allen & Overy)

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Manage Multiple Restrictions: alerts for all Sensitive Industry restrictions - from pre-approval warnings; to post notifications for disclosure obligations; and hard stops for limits that cannot be crossed

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GICS Standard: utilising Global Industry Classification Standard (GICS) and industry specific legislation from our legal and regulatory data provider

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Simple Implementation: Shareholding Disclosure subscribers require no additional data beyond GICS mapping

Don't get caught out by hidden complexity

Industries

Unique industry thresholds per jurisdiction

The differences between each industry varies according to jurisdiction. For example, Bulgaria applies a 1% notification threshold in insurance companies while Greece applies a 1% threshold in media companies and a 10% threshold for insurance companies.

Multiple industries

Same company but different industry

A single company can operate in a wide range of industries. Keeping track using manual processes is a full-time job. Automated checks using our Sensitive Industry rule packages takes seconds to complete.

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Issuer specific limits in an industry

Many experienced professionals are unaware that there are issuer specific restrictions within a specific industry. For example, holding greater than 1% in ANZ Singapore LTD would require pre-approval.

Currencies

Foreign ownership drives complexity

Foreign ownership restrictions add further difficulties. For example, Denmark imposes a limitation on foreign ownership of Defence at 20%. However, Danish investors face a limit of 59%.

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Safely navigate arcane regulation

Some jurisdictions enforce obscure laws. In Norway, there is a 20% Pre-Approval for Waterfalls. Thailand impose restrictions on companies that make Buddha casts and monk alms bowls!

The first managed service for sensitive industries

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Proven Technology and Gold-Standard Legal Information

Built on the FundApps platform, this is the first managed service used by compliance teams to uphold their regulatory obligations when trading in industries of special significance.

Backed by legal information from aosphere (an affiliate of Allen and Overy) and benefiting from best-in-class platform features, this is the gold-standard for sensitive industries monitoring.

Results Dashboard

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Automated Monitoring

Monitor alerts across multiple jurisdictions from a single dashboard in an easy-to-use User Interface (UI). Users are alerted via email with a daily snapshot of their results and can view further details in the UI which has embedded workflow functionality, audit trails, and more!

Results dashboard

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Room-In-A-Name

Room-In-A-Name calculates how much can be traded ("Room") in an issuer ("Name") before reaching the next reportable threshold. Having this information visible in the service, and optionally integrated with your OMS, ensures compliance and front office teams are connected with time to anticipate upcoming filings.

Room-in-a-Name Dashboard

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Business Intelligence Reporting

FundApps makes reporting simple. Gaining insight into historical disclosures across global jurisdictions has never been easier - users are able to produce high-production value management reports at the click of a button.

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“I can sleep better at night in comfort of the fact that our team can wake up early and know whether we have any imminent filings.”

- Director, Investments Compliance, Canadian Pension Fund (US $147 Billion AuM)

How FundApps automates the monitoring of regulatory thresholds

We receive industry specific regulation from our legal and regulatory data provider and then our in-house team of regulatory experts (“Regsperts”) map the thresholds and sectors to the Global Industry Classification Standards.

Your position file is run against the Sensitive Industries rules and the system automatically triggers the relevant alerts.

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Easily and securely upload your positions data to our cloud-based platform.

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Have your data analysed in a matter of minutes and be automatically notified of approvals, disclosures or hard stops.

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Simply automate your Sensitive Industries monitoring.

See the Demo

Automate your disclosure monitoring for industries with special significance

Related Resources

Urgent Regulatory Change in Spain

Judging COVID-19 to be a huge threat to their economy, the Spanish Government approved urgent measures. Read more

New Regulation in France?

Effective as of April 1 2020, France commissioned Decree No. 2019-1590 and the Order on foreign investments.
Read more

Sensitive Industries Launch

In March of this year, FundApps officially launched its newest service, Sensitive Industries! 🎉 Read more

Developing Sensitive Industries

The development of our latest service taught us 10 product management lessons that we’ll never forget!
Read more