Global Shareholding Disclosures
Unparalleled flexibility to handle complexities around legal-entity structures, market data, rule interpretations, and operating models.
Buy- and sell-side firms must monitor and disclose equity investments across a complex rapidly changing landscape of more than 100 jurisdictions’ rules. To comply, they must consider intricate corporate hierarchies, complex fund structures, and exposure to jurisdiction-specific scenarios:
- Significant shareholdings
- Short positions
- Takeover panels
- Sensitive industries
- SEC Form 13-F
Firms must marshal requisite position, market, reference, hierarchy, and legal-rules data to successfully monitor huge disclosure volumes and withstand regulatory examinations.
Institutions saddled with legacy systems and/or heavily reliant upon manual processes need to assess how to achieve automated, transparent, efficient shareholding disclosure processes that will future-proof their compliance.
Data and Rules Management on a Single Platform
7 reasons why the world’s largest and most complex organizations automate shareholding disclosures with us:
- We deliver data and rules management natively on a single platform enabling swift exception management and resolution
- We cover the gamut of jurisdictional scenarios and related reporting
- We reduce operational risk by giving you greater control over your operating model including the timing and delivery of data across your global operations
- We manage rules governing disclosure thresholds for equity positions in over 100 jurisdictions and enable you to create and maintain custom rules
- We simplify reporting across your entire corporate hierarchy at parent, advisor, fund, and fund sleeve levels
- We provide transparency through data and rule drilldown tools
- Our system delivers submission histories, daily point-in-time datasets, and lineage for required compliance and audit defense
Benefits for You
Transparent, automated processes
We provide consistent, repeatable workflows in a user-controlled environment that adapts to your target-state operating model and delivers high-volume processing and intra-day runs. Our processes significantly reduce operational risk end-to-end: position, market, and legal data ingestion; calculations; reporting; validation; sign-off.
Cloud-enabled
Our secure, scalable RegCloud® SaaS deployment ensures you have the latest regulatory rules and software and experience seamless data ingestion and rules-engine processing. We eliminate technology infrastructure burdens and enable you to concentrate resources on shareholding vigilance and submission validation.
Robust data management
Designed to interface seamlessly with your middle- and back-office (post-trade) functions, our solution enables you to leverage the single source of truth to achieve accuracy, efficiency, and auditability.
Flexible rules library
Our analysts interpret Aosphere’s (Allen & Overy LLP affiliate) Rulefinder SD legal-memo feed providing easy-to read definitions, enabling beneficial interest aggregation by legal entity/jurisdiction, and informing threshold calculations. You control whether to apply our industry-standard or your own rule interpretations.
Robust rules engine
Our sophisticated threshold calculation methodology enables rules application across multiple jurisdictions. The engine flexibly aggregates/disaggregates holdings in group structures and calculates share ownership determining threshold breaches for jurisdiction-specific scenarios: significant holdings, short positions, takeovers, and sensitive industries.
Dashboards and auditability
Our regulatory/proximity alerts dashboards enable compliance teams to monitor disclosable events. Exclusion/validation dashboards flag data quality and validation failures for operations teams. Data/rule drilldown enables granular inspection. Submission histories, daily point-in-time datasets, and lineage support required compliance and audit defense.
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