Are you facing ever-changing regulation on a global basis?
Does your firm rely upon error-prone, manual self-interpretation or outdated and expensive proprietary software?
We ensure that compliance professionals can reduce the time and cost associated with shareholding disclosure, prove adherence to regulation, mitigate reputational risk and avoid fines.
Our outsourced, managed service combines a powerful rules engine with a dedicated team of compliance experts and legal information from aosphere (an affiliate of Allen & Overy) and other regulatory data sources.
We automate disclosure requirements such as major shareholding, 13F reporting, short selling (EU Short Selling Rules, Hong Kong, Japan, etc.), takeover panels, issuer limits, issuer requests (such as Section 793) and more.
400+ RULES, 90+ JURISDICTIONS, 150+ DISCLOSURE FORMS
Our Shareholding Disclosure service is used to analyse over US $8 trillion in AuM every day. There is no need to restrict trading activities because of complex shareholding disclosure regulations. With FundApps' integrated workflows, custom alerts and notifications, you can trade globally without concern.
We help our clients be more efficient and save time by eliminating the need for complicated spreadsheets and risk of human error; and reducing the need for costly legal counsel. We help them save money as they have no need for expensive proprietary systems, no infrastructure costs, no per-user fee.
Our service lets you connect, communicate and share regulatory know-how with compliance professionals around the world, providing community support in the validation of unreliable market data (such as denominator values).
Our content team interprets and translates legal information into algorithms, creating and maintaining 400+ rules. Furthermore, feedback on rules from our client community supplements and enhances our rules package.
The system models complex company hierarchies in a variety of dimensions, including how they might differ in regard to management discretion, the power to exercise voting rights, and other considerations relevant to how beneficial ownership is defined around the world.
We automatically source the latest in regulatory information by scraping multiple websites to provide our clients with takeover panel data, issuer limits and more. If more detail is needed, we reach out to regulators to get a better understanding directly from the source.
Room-In-A-Name calculates how much can be traded (“Room”) in an issuer (“Name”) before reaching the next reportable threshold. Having this information readily available ensures compliance and front-office teams are connected with time to anticipate upcoming filings and are able to make data driven decisions.
The Automated Community Denominator Check highlights the differences between denominator values (e.g. total shares outstanding) uploaded by clients. This reduces the volume of manual checks within compliance teams’ workflow - increasing both efficiency and confidence.
Integrating with our Shareholding Disclosure service is straightforward: all we require is a daily positions file.
At no extra cost, we provide you with support from our compliance experts every step of the way; from implementation through to smooth day-to-day disclosing.
1. UPLOAD YOUR DATA
Connect to the FundApps cloud-based service via our secure API and upload your positions data.
We can help you to schedule this process automatically.
2. RESULTS ARE CALCULATED
Once we have received your data, we immediately identify your regulatory obligations.
Your positions are analysed against our global rule library in a matter of minutes. You will receive an email if you need to make any disclosures.
3. REVIEW, DISCLOSE & FILE
Log in to review and manage any disclosure obligations.
We automatically generate 150+ disclosure forms, with most fields pre-populated. If you need to make a filing, complete the form and click to disclose.