The market disruption due to COVID-19 placed extraordinary strains on reporting regimes. Periodic bans and reduced thresholds presented an additional burden for hedge funds, and in particular, the challenge for compliance departments is to keep track of rapidly changing thresholds by market and ensure timely disclosures. View the CSS and aosphere finale of the CSS’s exploratory webinar series on what’s next on the regulatory horizon.
- Short selling bans recap & ESMA update
- Wider EU regulatory position
- What’s next? Regulators and COVID-19
- Implications for substantial shareholding & sensitive industries
- How to future-proof to be prepared for what’s on the regulatory horizon?
Faye Sutherland, Head – Shareholding Disclosure, aosphere LLP
Faye is head of the Rulefinder Shareholding Disclosure service provided by aosphere LLP (an affiliate of Allen & Overy).
Faye qualified as a lawyer in 2001 and joined aosphere in 2009 for the development and launch of Rulefinder Shareholding Disclosure. As Head of the Rulefinder service, Faye has oversight and responsibility for the legal content and development of a product which today is used by 330+ organisations and covers detailed legal analysis for 90+ jurisdictions. Faye is often asked to speak on regulatory topics concerning beneficial ownership reporting and short selling rules, especially for a view on global trends.
Greg Hotaling, Regulatory Compliance Expert, CSS
Greg is a Compliance SME (Subject Matter Expert) at CSS, addressing global regulatory matters relevant to the financial industry. Since its inception Greg has led the regulatory research and content team for Signal, the 2018 “HFM Best RegTech Solution” award-winner that facilitates compliance with shareholder disclosure and position limit rules around the world. Prior to joining CSS, Greg practiced law as a corporate and securities attorney in New York for 10+ years.
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