Blogs
SFC Announces Changes to Position Limit Regime
The first changes to the SFC Position Limit Regime since 2017 take effect on 22 December 2023, altering four major requirements for investment managers.
Why Community is the X Factor of Compliance
Discover the power of community & collaboration in the financial industry and why a diverse community leads to innovation, productivity, & compliance.
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.
Why you should care about the latest SEC disclosure regulations
The latest SEC disclosure regulations have brought significant changes to beneficial ownership reporting and short sale disclosure rules.
Why Derivatives Limit Monitoring Needs Automation
Learn why derivatives limit monitoring needs automation & why a manual intervention process, takes an inordinate amount of effort to keep working effectively.
Peeling Back the Layers of Position Limits
Position Limits cover the purchase and trading of a broad set of derivatives across asset classes and instruments. Where did it all start?
Short Selling Regulation Review: Our Response to the Call for Evidence
FundApps' letter to His Majesty’s Treasury (HMT) after a call for evidence was issued to improve the UK’s Short Selling Regulation (SSR).
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.
GICS Changes in March to Impact Sensitive Industries Monitoring
The Global Industry Classification Standard is changing 17 March 2023, and investment management companies will need to reflect changes to stay compliant.