Resources

"Automation is taking my job away!"

Automated compliance services can reduce key-person risk, mitigate the chances of reputational damage and enable the retirement of legacy technology.

by David Polonsky Jun 11, 2020 Read More

Vendor Due Diligence

A firm's ownership structure is a criteria that is often overlooked, but vital, to successfully choosing a long-term vendor for your company.

by David Polonsky May 7, 2020 Read More

Current state of market data - 2018

Market data has been, and will continue to be, one of the most significant challenges with running an accurate and efficient compliance team. Unfortunately, there isn’t a silver bullet to solve this data accuracy or “denominator” issues. The main players in the market data space all have their strengths and weaknesses. None of them can be relied on entirely to have accurate data in the eyes of the regulators.

by David Polonsky Jul 17, 2018 Read More

Rule Commentary - Connect with a World of Legal Experts

Rule Commentary is changing how people discuss regulation.

by David Polonsky Jul 25, 2016 Read More

Sacré bleu! Best Practices for French and Belgian Issuer Limits

Issuer Limits for France and Belgium can be terribly difficult to manage, FundApps can help automate this.

by David Polonsky May 10, 2016 Read More

TD2 - 3 Months in, What is Going on?

What is happening with TD2? Check out the infographic to find out

by David Polonsky Mar 1, 2016 Read More

Transparency Directive Amendment - a look into sanctions, reporting, and requirements for being exempt

The Financial Conduct Authority and Her Majesty’s Treasury have made some significant changes in its draft of the implementation of the Transparency Directive Amended Directive (Directive 2013/50/EU, which amends 2004/109/EU).

by David Polonsky Oct 12, 2015 Read More

The Cautionary Tale of Third Point, HSR Act, and 13D Filings

There is much confusion surrounding regulatory filings. Unfortunately, there can be hefty fines if you get it wrong.

by David Polonsky Sep 30, 2015 Read More

Case Study: A Swiss Asset Manager

Regulation: ASIC Short Position Reporting

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"Automation is taking my job away!"

Vendor Due Diligence

Current state of market data - 2018

Rule Commentary - Connect with a World of Legal Experts

Sacré bleu! Best Practices for French and Belgian Issuer Limits

TD2 - 3 Months in, What is Going on?

Transparency Directive Amendment - a look into sanctions, reporting, and requirements for being exempt

The Cautionary Tale of Third Point, HSR Act, and 13D Filings

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