Will Delegation Affect My Disclosure Obligations?
Automate aggregation requirements for entities that have delegated management or voting authority.
by Karl Schindler Jun 1, 2021
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Automate aggregation requirements for entities that have delegated management or voting authority.
The European Securities and Markets Authority (ESMA) intends to permanently lower the disclosure threshold for net short positions to 1%.
Australian short selling reporting to the Australian Securities & Investments Council (ASIC) through the Foreign Investment eXchange (FIX) protocol ‘position report’ messages.
Special Purpose Acquisition Companies (SPACs) are on the rise, but SPAC data providers are not about to provide necessary SPAC reporting under Section 13 of the Securities and Exchange Act of 1934 (SEA).
Hong Kong regulator Securities and Futures Commission (SFC) issues fine for failure to ensure short position reports (SPRs) under the Securities and Futures Short Position Reporting Rules (SPR Rules).
Keeping pace with all of the regulatory changes that took place as the result of Brexit was no easy task, as we discovered over the past 18 months! Here are 6 key things that we learnt throughout the process.
Innovative technologies have transformed the financial industry at all levels, and the compliance officer's role is no different.
Our Compliance-as-a-Service Shareholding Disclosure solution wins The Best Solution - Shareholding & Position Reporting in the Regulation Asia Awards for Excellence 2020
Here we discuss FCA’s position on Brexit and the impact of Brexit on the Substantial Shareholding Disclosure regime, the EU Short Selling regulation, takeovers panels, sensitive industries and foreign ownership rules.
Part of our new FundApps Academy, The Transparency Directive Seminar is an online course that will enable you to navigate the TDA with confidence.
Here we highlight some of the most commonly overlooked aspects of Shareholding Disclosure and how they can lead to the risk of fines and reputational damage.
As financial markets continue to globalise, the changing nature of regulatory requirements means that firms' approaches to compliance must be reconsidered.
