CSS Breakfast Brief – Substantial Shareholder Disclosure & Position Limit Monitoring

- London - Stockholm - Dublin

Due to the complex variations and intricacy in shareholding disclosure requirements which have created significant challenges for firms to remain compliant, CSS is hosting breakfast briefs in our offices in London (March 25), Stockholm (March 27) and Dublin (March 29).

The objective of these briefs is to break down and explore how firms can tactically and strategically cope with and stay ahead of the data challenges, filing nuances, and legal structure complexities of shareholding disclosures and position limit monitoring.

Our presenter at the event will be Mike Marmo, who leads the Signal team at CSS. Mike is responsible for guiding the product development life cycle, implementing key regulatory functionality, and setting the product road map. Mike has 14 years of FinTech experience and a strong background working with traders, portfolio managers, and back office personnel to implement financial solutions. Prior to joining CSS, Mike served as a Compliance Implementation Manager for Charles River OMS.

How can firms tactically and strategically cope with and stay ahead of the data challenges, filing nuances, and legal structure complexities of shareholding disclosures and position limit monitoring? Our upcoming CSS breakfast briefs address these challenges and offer ways to stay compliant.

8:30-9:00

Welcome breakfast and coffee

9:00-9:15

Welcome and Introduction to CSS

9:15-10:00

Substantial Shareholder Disclosure

  • Data Challenges – Breakdown of common challenges while evaluating holdings
  • Filing Nuances – How to stay ahead of the “who, how, when and where” to file
  • Legal Structure Complexities – Understanding and coping with reporting entity structure

10:00-10:15

Coffee Break

10:15-11:00

Position Limit Monitoring

  • Reference Data Translations – Steps to understand which market reference data codes equate to exchange specific product codes
  • Spot Effective Date – Coping with various effective dates for spot limit compliance
  • Aggregation – Reduce exposure when monitoring holdings against position limits

11:00

Closing Remarks

8:30-9:00

Welcome breakfast and coffee

9:00-9:15

Welcome and Introduction to CSS

9:15-10:00

Substantial Shareholder Disclosure

  • Data Challenges – Breakdown of common challenges while evaluating holdings
  • Filing Nuances – How to stay ahead of the “who, how, when and where” to file
  • Legal Structure Complexities – Understanding and coping with reporting entity structure

10:00-10:15

Coffee Break

10:15-11:00

Position Limit Monitoring

  • Reference Data Translations – Steps to understand which market reference data codes equate to exchange specific product codes
  • Spot Effective Date – Coping with various effective dates for spot limit compliance
  • Aggregation – Reduce exposure when monitoring holdings against position limits

11:00

Closing Remarks

8:30-9:00

Welcome breakfast and coffee

9:00-9:15

Welcome and Introduction to CSS

9:15-10:00

Substantial Shareholder Disclosure

  • Data Challenges – Breakdown of common challenges while evaluating holdings
  • Filing Nuances – How to stay ahead of the “who, how, when and where” to file
  • Legal Structure Complexities – Understanding and coping with reporting entity structure

10:00-10:15

Coffee Break

10:15-11:00

Position Limit Monitoring

  • Reference Data Translations – Steps to understand which market reference data codes equate to exchange specific product codes
  • Spot Effective Date – Coping with various effective dates for spot limit compliance
  • Aggregation – Reduce exposure when monitoring holdings against position limits

11:00

Closing Remarks

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Additional questions? Contact Kate Horgan at kate.horgan@cssregtech.com

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