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.
To minimize their current operational risk and prepare for future regulatory changes, firms need to establish automated, flexible, and intelligent systems capable of handling complex data requirements and the timely filing of submissions worldwide.
Data and Rules Management on a Single Platform
7 reasons why the world’s largest and most complex organizations automate regulatory 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 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.
