Blue dots forming a ripple and wave effect. FundApps Filing Manager automates the disclosure process for short selling reporting.

Filing Manager

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One-click short selling disclosure

Imagine being able to automate global short selling disclosure with just one click?

Whether it is 10s or 100s of short selling disclosure that need doing, filing with multiple regulators is time consuming and prone to error. With emails, documents and portals just some of the moving parts, it is easy to make a mistake and then have to start all over again or face a fine.

Recent regulations and amended rules such as the SEC's 13f-2 demonstrate an increased appetite from regulators to enhance market transparency and gain greater insight into short selling activities.

The time to automate is now.

How FundApps Filing Manager works

Filing Manager automates the disclosure process for short selling reporting.

It uses the client-provided data and provides a fully audited service to file for the client - so a compliance team member doesn't have to.

It identifies disclosures for short positions once the position file runs and prepares them to be submitted to the relevant regulator. The system identifies when it is 'Disclosing' (when the data is submitted to the regulator but are still awaiting confirmation) and 'Filed' (when confirmation is received from the regulator)

Filing manager uses client-provided data and provides a fully audited service to file for the client. Diagram explaining how it works.

Key features

FundApps Filing Manager uses the client-provided data and provides a fully audited service. Number 1 in front of a wavelength created by pink dots.

When to disclose

Have clarity and consistency of when to disclose whether it is daily, T+ 1, from position date or only when the threshold is crossed.

Number 2 in front of a wavelength created by pink dots. FundApps Filing Manager ensures you submit the right data points in the right format.

What to disclose

Rules vary across the globe and Filing Manager ensures you submit the right data points in the right format

FundApps Filing Manager identifies disclosures for short positions. Number 3 in front of a wavelength created by pink dots.

Where to disclose

Submitting short disclosure reports across different jurisdictions means portals, SOAP, FIX, API, logins and passwords. We know where.

Number 4 in front of a wavelength created by pink dots. Secure, seamless data transfer with FundApps Filing Manager.

Secure and seamless

Automated data submission direct from our platform to regulators including ASIC(AU), BaFin(DE), FCA(UK), FI(SE), MAS(SG) and SFC(HK).

Power of community | Power of community |
Why Community is the X Factor of Compliance
Community
9 mins

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.

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Our accreditations 

Reduce risk, cost, burden

We continue to push the regulators to reduce the compliance burden for short selling disclosure.

This includes recently submitting recommendations to the UK Call for Evidence such as bulk uploads via API. positive lists (not FIRDS + Exempted Shares List + ESS List) and limiting it to larger companies.

We're also excited about what ESMA is doing including the 'proposed establishment of a centralised notification and publication system of NSPs' which will help 'improve the transparency of EU markets' and 'strengthen the capacity to react to crises'.

Our Filing Manager system provides significant time savings and proposals like the above will mean more time saved and improved accuracy.

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Useful blogs to read

Short Selling Regulation Review: Our Response to the Call for Evidence
Filing Manager
5 mins

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).

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Hong Kong hedge fund fined HK$1.75mn by SFC for EU short selling breach
Filing Manager
2 mins

Hong Kong hedge fund fined HK$1.75mn by SFC for EU short selling breach

A Hong Kong hedge failed to make 155 notifications to the FCA and 153 disclosures to the public of its net short position in Premier Oil.

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From the Content Team: Japanese Delta Hedging
Filing Manager
3 mins

From the Content Team: Japanese Delta Hedging

This post explains the exemption on sales of shares in connection with long convertibles, in the Japanese short selling disclosure regime.

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