Resources

Why (proper) shareholding disclosure doesn't end at delegation

Delegation is common practice in investment management, especially for endowments and pensions. Unfortunately, it is not as simple as it seems.

by Karl Schindler Feb 9, 2023 Read More

Will Delegation Affect My Disclosure Obligations?

Automate aggregation requirements for entities that have delegated management or voting authority.

by Karl Schindler Jun 1, 2021 Read More

Hong Kong Short Positions: A Teachable Moment

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).

by Karl Schindler Mar 5, 2021 Read More

CaaS: Utilising the Power of the Cloud

As financial markets continue to globalise, the changing nature of regulatory requirements means that firms' approaches to compliance must be reconsidered.

by Karl Schindler Nov 4, 2020 Read More

CaaS: Closing the Gap Between Practice & Interpretive Decision-Making

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.

by Karl Schindler Sep 22, 2020 Read More

The Pitfalls of Coding Your Own Rules (Part 2)

Here we discuss the complexities of maintaining regulatory data in detail & address the importance of enlisting domain expertise necessary to ensure compliance.

by Karl Schindler Jun 22, 2020 Read More

CaaS: The Power of Community

When it comes to shareholding disclosure, it is almost impossible for a lawyer in a given jurisdiction to cover every consideration a firm must face.

by Karl Schindler Jun 12, 2020 Read More

The Pitfalls of Coding Your Own Rules (Part 1)

Regulation is ever evolving and can change at short (or no) notice. As a result, coding your own rules poses several risks.

by Karl Schindler May 18, 2020 Read More

Cross-listing Conundrum

The most common attribute in disclosure regulation is not the incorporation, headquarters, or assets of a company, but where their securities are listed.

by Karl Schindler Feb 19, 2020 Read More

Is FundApps' Rule Set Flexible Enough?

The simple yet misunderstood concept of creating an industry-standard shareholding disclosure algorithm means that any single institution belongs to a community of compliance experts, and is better off as a result.

by Karl Schindler Nov 14, 2019 Read More

Aggregation Anomalies in Shareholding Disclosure

One of the most misunderstood aspects of compliance with Shareholding Disclosure and transparency regulation is determining which entities, funds, or portfolios one must combine (aggregate) to know one’s ownership of a company or class of security.

by Karl Schindler Jul 31, 2019 Read More

Demonstrating Compliance

FundApps brings peace-of-mind for a compliance officer, the board of directors and the company as a whole which means knowing that compliance monitoring is evidenced and accessible after only a few clicks.

by Karl Schindler May 13, 2019 Read More

Case Study: A Swiss Asset Manager

Regulation: ASIC Short Position Reporting

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Why (proper) shareholding disclosure doesn't end at delegation

Will Delegation Affect My Disclosure Obligations?

Hong Kong Short Positions: A Teachable Moment

CaaS: Utilising the Power of the Cloud

CaaS: Closing the Gap Between Practice & Interpretive Decision-Making

The Pitfalls of Coding Your Own Rules (Part 2)

CaaS: The Power of Community

The Pitfalls of Coding Your Own Rules (Part 1)

Cross-listing Conundrum

Is FundApps' Rule Set Flexible Enough?

Aggregation Anomalies in Shareholding Disclosure

Demonstrating Compliance

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