Orange dots in a wave movement. FundApps Shareholding Disclosure monitors beneficial requirements for compliance teams.

Shareholding Disclosure

The right data, constant monitoring, accurate submissions

FundApps Shareholding Disclosure monitors requirements in over 100 jurisdictions for beneficial ownership, short selling and takeover panels.

Global regulators are moving towards zero tolerance and automating the process enables firms to both handle increasing volumes of disclosures while being future-flexible in their ability to comply.

The platform combines a powerful rules engine, a dedicated team of regulatory experts as well as legal information from aosphere, takeover panel lists, ESMA's FIRDS database, SEC's 13F list, FX rates and other regulatory data sources.

How FundApps Shareholding Disclosure works

Position data is checked against Shareholding Disclosure, Takeover Panel and Short Selling rules enriched with legal, market and regulatory data from Refinitiv and Bloomberg. The rules engine identifies if and where a disclosure is required and to which regulator or regulators in the case of dual listings.

The FundApps Shareholding Disclosure identifies if, and where a disclosure is required. The diagram explains the process in detail.

Key features

FundApps Shareholding Disclosure monitors requirements in over 100 jurisdictions. Number 1 in front of a wave length created by purple dots.

Consolidated data

Takeover panel information, short selling lists, FIRDS information and issuer-specific data is automatically sourced making data accessible and usable.

Number 2 in front of a wavelength created by purple dots. FundApps regulatory experts take legal and regulatory interpretation and code them.

Rule coverage

Our in-house regulatory experts take aosphere's legal and regulatory interpretation and code them into a single set of always up-to-date rules used by all our clients.

FundApps Shareholding Disclosure monitors requirements for beneficial ownership. Number 3 in front of a wavelength created by purple dots.

Results dashboard

Focus efforts where it counts by using our concise daily summary of what needs to be done and what's to come including custom rule alerts and access to historical data.

Number 4 in front of a wavelength created by purple dots. FundApps rules engine identifies if and where a disclosure is required.

Aggregation

Comply with shareholding disclosure by correctly aggregating positions at entity to portfolio level, as well as by ownership type (legal, voting, management).

Become a LEADR in monitoring and reporting

LEADR (Legislation, Events, Aggregation, Data, and Region) is the ultimate judge of how effective your systems and processes are for monitoring and reporting beneficial ownership. It evaluates regulatory requirements and tells you what's working, what needs improvement, and what's not so crucial for your obligations. LEADR is the holy grail for setting benchmarks and building a solid business case. It's time to embrace them and take your disclosure game to the next level.

Why the compliance challenge of aggregation is often underestimated

Why the compliance challenge of aggregation is often underestimated

Discover how aggregation plays a vital role in the LEADR framework and the obstacles financial institutions encounter in meeting regulatory compliance.

Where Data Gets Your Shareholding Disclosure Wrong

Where Data Gets Your Shareholding Disclosure Wrong

Discover the importance of data in shareholding disclosure and how it serves as the foundational pillar for compliance.

LEADR: 5 Pillars of Shareholding Disclosure | FundApps

LEADR: 5 Pillars of Shareholding Disclosure | FundApps

Introducing LEADR, a framework to assess your systems and processes for monitoring and reporting beneficial ownership. Discover this new piece of technology.

Pre-trade API | Pre-trade API |

FundApps Shareholding Disclosure Pre-Trade API

Shareholding pre-trade disclosure checks can mean tight deadlines, low thresholds, ETF hard stops, pre-merger notifications and more. Examples that come to mind are European short-selling rules, 12D and HSR and monitoring on a pre-trade basis is often a time-consuming mix of manual workarounds, manual rule coding and cross-checks.

The FundApps Pre-Trade API for Shareholding Disclosure automates all your pre-trade checks, does them in real-time and can aggregate across your whole portfolio.

Butterfly on hand pointing to mountains and a dusky sunset. Take the journey with FundApps Pre-Trade API to automate your pre-trade checks.

Our accreditations

Featured post | Featured post |
Why Community is the X Factor of Compliance
9 mins

Why Community is the X Factor of Compliance

Discover the power of community in the financial industry and the benefits of collaboration. A strong and diverse community leads to innovation, productivity, and peace of ...

Prove adherence, de-risk, be consistent

With a complete audit of actions, our shareholding disclosure service provides clients with the ability to evidence how they have kept up with ever-changing disclosure regulation. 

And by automating outdated processes that often include manual workarounds and Excel sheets, our solution ensures clients de-risk the entire monitoring and reporting process while also enabling teams across the enterprise to apply consistent treatment to all regulations.  

Useful Blogs To Read

Why the compliance challenge of aggregation is often underestimated

Why the compliance challenge of aggregation is often underestimated

Discover how aggregation plays a vital role in the LEADR framework and the obstacles financial institutions encounter in meeting regulatory compliance.

The new US short selling rules: what’s going to be difficult for compliance officers?

The new US short selling rules: what’s going to be difficult for compliance officers?

New US short selling rules bring challenges for compliance officers: expanded reporting, XML filings, issuer thresholds, and daily position tracking.

Where Data Gets Your Shareholding Disclosure Wrong

Where Data Gets Your Shareholding Disclosure Wrong

Discover the importance of data in shareholding disclosure and how it serves as the foundational pillar for compliance.

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