Resources

Le dilemme francophone des responsables de la conformité - les limites de l'émetteur

Notre service automatise les obligations complexes et chronophages de déclaration et de divulgation des limites des émetteurs français et belges.

by Michael Barclay Nov 21, 2022 Read More

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.

by Felix Blumer Oct 14, 2022 Read More

SEC: Changes to Private Fund Reporting for US Investment Advisers

On 10 August 2022, the SEC voted 3-2 to propose amendments to Form PF (‘the Form’).

by Felix Blumer Sep 15, 2022 Read More

The EU’s MiCA - the ‘Mini-MiFID’

In late June, the Council presidency and the European Parliament reached provisional agreement to introduce the Markets in Crypto-assets (MiCA) directive.

by Felix Blumer Aug 25, 2022 Read More

Applying Expertise Beyond Regulatory Guidance

We explore how FundApps have established a regulatory framework for how an investment should or should not be included in a Shareholding Disclosure check.

by Ben Richards Aug 23, 2022 Read More

Mise à jour produit : la « loi Florange » et le droit de vote double

Notre service est capable de calculer automatiquement l'ajustement des droits de vote dérivé de la loi Florange en doublant les droits de vote.

by Michael Barclay Aug 17, 2022 Read More

Vendor Risks Financial Institutions are Facing in 2022

While having few vendors is logical, our blog provides some strong counter arguments as to why having a selection of strong vendors is the best way forward.

by Andrew White Jul 7, 2022 Read More

I could hire somebody for that!

FundApps CEO, Andrew White, responds to the often heard, 'We can hire someobody for that!' objection.

by Andrew White Mar 22, 2022 Read More

SEC Proposes Changes to Section 13 and Short Sale Requirements

Dave Polonsky gives a run through of the new, proposed changes to beneficial ownership and short-selling reporting by the SEC.

by Liam Driscoll Mar 3, 2022 Read More

SEC Proposes Short Sale Disclosure Rule

The Securities and Exchange Commission proposed new Rule 13f-2 to increase market transparency regarding short selling.

by Meryl Rastall Feb 25, 2022 Read More

Product Update: The ‘Florange Law’ and Double Voting Rights

FundApps has introduced new functionality making it possible to automatically calculate the adjustment to voting rights derived from the Florange Law.

by Amber Adam Feb 17, 2022 Read More

SEC Proposes Amendments to 13G and 13D Beneficial Ownership Reporting

An overview of the proposed changes to Section 13G and Section 13D by the SEC, the first of their kind in more than 40 years.

by Andrew Kim Feb 15, 2022 Read More

Case Study: A Swiss Asset Manager

Regulation: ASIC Short Position Reporting

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Resources

Le dilemme francophone des responsables de la conformité - les limites de l'émetteur

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

SEC: Changes to Private Fund Reporting for US Investment Advisers

The EU’s MiCA - the ‘Mini-MiFID’

Applying Expertise Beyond Regulatory Guidance

Mise à jour produit : la « loi Florange » et le droit de vote double

Vendor Risks Financial Institutions are Facing in 2022

I could hire somebody for that!

SEC Proposes Changes to Section 13 and Short Sale Requirements

SEC Proposes Short Sale Disclosure Rule

Product Update: The ‘Florange Law’ and Double Voting Rights

SEC Proposes Amendments to 13G and 13D Beneficial Ownership Reporting

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Case Study: A Swiss Asset Manager

Regulation: ASIC Short Position Reporting

Join our Compliance Community

Become a FundApper!

Resources

Recent Posts

Stay in the know!

LONDON OFFICE

NEW YORK OFFICE

SINGAPORE OFFICE

COMMUNITY RESOURCES

Love what you see? Stay up-to-date with the latest regulatory updates and FundApps news delivered straight to your inbox!

Follow us

LONDON
OFFICE

NEW YORK
OFFICE

Love what you see?
Stay up-to-date with the latest regulatory updates and FundApps news delivered straight to your inbox!