Case Study: A Canadian Asset Manager
Our client is the biggest single-occupation pension fund in Canada, administering the pensions of 329,000 active and retired teachers in Ontario.
by Kallie Price Oct 20, 2020
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Our client is the biggest single-occupation pension fund in Canada, administering the pensions of 329,000 active and retired teachers in Ontario.
The gap between practice and regulatory interpretation can be closed by having a common interpretive framework, codified in a single rule set, with an ability for collaboration.
Due to the adverse effects of the COVID-19 pandemic, ESMA has renewed its decision requiring net short position holders to report positions of 0.1% and above.
The Ontario Government has established the Capital Markets Modernization Taskforce. Their report covers the improvement of regulatory governance, modernisation of the capital markets & fostering innovation & investor protection.
Here we look at the potential TCO for purchasing an off-the-shelf system that will be installed on your own servers (so called “On Premises” or “On-Prem”).
Established in 2016 and with offices around the world, our client uses both the FundApps Shareholding Disclosure and Position Limits services.
In May the Australian Takeovers Panel published a response statement to the proposed amendments to GN20.
The SEC has proposed to raise the disclosure threshold for 13F filings from $100m to $3.5bn. Is this the death knell of transparency into investment behaviour?
Our client is the biggest single-occupation pension fund in Canada, administering the pensions of 329,000 active and retired teachers in Ontario.
Similar to many investments during our lifetime, it is vital to consider the short and long term benefits of choosing a compliance-as-a-service solution.
In our experience TCO is something that financial institutions are shockingly bad at calculating/estimating. The larger the institution the more difficult it becomes.
Here we discuss the complexities of maintaining regulatory data in detail & address the importance of enlisting domain expertise necessary to ensure compliance.
