Position Limit Monitoring & Shareholding Disclosure Breakfast Briefs

- New York

CSS is hosting breakfast briefs on June 26-27 on Position Limit Monitoring and Shareholding Disclosure.

Topics will include:

Position Limit Monitoring

  • Reference Data Translations
  • Spot Effective Date
  • Aggregation
  • Holding Adjustments & Calculations

Substantial Shareholding

  • Data Challenges
  • Filing Nuances
  • Legal Structure Complexities

Space is limited. Register to join us or click on the Agenda to learn more.

8:30

Registration Breakfast & Coffee

9:00

Welcome & Introduction to CSS

9:15

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

10:00

Coffee Break

10:15

Position Limit Monitoring

  • Aggregation

Potentially reduce exposure when monitoring holdings against position limits

  • Holding Adjustments & Calculations

Dealing with nuances related to diminishing balances, open interest calculations & more

11:00

Closing Remarks

8:30

Registration Breakfast & Coffee

9:00

Welcome & Introduction to CSS

9:15

Shareholding Disclosure

  • Data Challenges

Breakdown of common challenges while evaluating holdings

10:00

Coffee Break

10:15

Shareholding Disclosure

  • 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

11:00

Closing Remarks

CSS Headquarters

777 Third Avenue, 10th Floor
New York, NY 10017

NOTE: Space is limited; register for your spot today!

Loading form...

Latest Content

Tips to Prevent an SEC OCIE Investment Adviser Exam from Going Bad

Strategies to employ when an SEC OCIE adviser exam goes bad drew a great crowd at the recent CSS Ascendant Fall Compliance Conference. Proactively pointing an exam in the right direction was a consistent theme, summarized by the familiar refrain: “There is no substitute for preparation.” A few keys to note if you find your … Continued

Giving Voice to Values: A New Approach to Ethics

The “Giving Voice to Values” program grew out of Professor Mary Gentile’s frustration of what was going on in both the financial industry and in higher education. She was frustrated and angry about the poor way that ethics was being taught in universities and applied in real-world scenarios. What developed out of her frustration is … Continued

Tips for Developing a Tailored Private Fund Compliance Calendar

As regulatory concerns proliferate and become more complex, developing and monitoring your “to-do” list becomes of paramount importance.  John Gentile, the Director of Private Fund Manager Services for Compliance Solutions Strategies and Michael Emanuel, a Partner at Stroock & Stroock & Lavan LLP provided attendees of the recent CSS 2019 Fall Conference some insight into … Continued