CSS Regulatory Roundtables: Global Thresholds with Focus on Shareholder Disclosure & Position Limits

- Boston & Toronto

Due to the complexities in shareholding disclosure requirements which have created significant challenges for firms to remain compliant, CSS is hosting roundtable events in the following cities:

  • Boston – Jan. 28, 2020
  • Toronto – Jan. 29, 2020

Register to join experts from CSS and aosphere LLP in either location 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 events will be Greg Hotaling, who leads the regulatory research and content for Signal. A member of the CSS Best Practices team, Greg has practiced as a corporate and securities attorney for more than 10 years in New York, and currently serves as a compliance expert focusing on global financial regulations. Greg will be joined by aosphere LLP Senior Associate Manisha Ramchurn and Executive Director Claire Farley.

8:30-9:00

Registration, Breakfast & Coffee

9:00-9:15

Welcome & Introduction to CSS

9:15-10:15

Substantial Shareholder Disclosure

  • Regulatory Challenges – Aggregation, sensitive industries and more
  • Data Sourcing – Common challenges when evaluating holdings
  • Filing Nuances – Disclosure data, submission procedures

10:15-10:30

Coffee Break

10:30-11:30

Position Limit Monitoring

  • Application of the Limits — Exchange codes, spot periods
  • Position Calculation – Netting, diminishing balances and more

11:30

Closing Remarks

8:30-9:00

Registration, Breakfast & Coffee

9:00-9:15

Welcome & Introduction to CSS

9:15-10:15

Substantial Shareholder Disclosure

  • Regulatory Challenges – Aggregation, sensitive industries and more
  • Data Sourcing – Common challenges when evaluating holdings
  • Filing Nuances – Disclosure data, submission procedures

10:15-10:30

Coffee Break

10:30-11:30

Position Limit Monitoring

  • Application of the Limits — Exchange codes, spot periods
  • Position Calculation – Netting, diminishing balances and more

11:30

Closing Remarks

Greg Hotaling

Regulatory Compliance Expert

Greg Hotaling will speak at both the Boston and Toronto events.

Greg is a Compliance 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, held a one-year term as a federal Law Clerk, directed and wrote a nationally broadcast documentary film, and worked as a paralegal in Paris, France as well as in Washington D.C.

Manisha Ramchurn

Senior Associate

aosphere LLP

Manisha is a senior associate at aosphere LLP, working exclusively in the Rulefinder Shareholding Disclosure product team. She qualified as a lawyer with Sidley Austin in 2004, working as an associate in the international finance group advising on structured finance transactions, in particular, securitizations. Prior to joining aosphere, Manisha spent 7 years working in the global markets rates legal team at Deutsche Bank where she advised on a variety of rates and index linked structured finance products, derivatives regulation and the strategic investment group which included working on a US$1.3 billion IPO. Manisha joined aosphere in 2015.​

Claire Farley

Executive Director

aosphere LLP

Claire is Executive Director at aosphere LLP, an affiliate of Allen & Overy LLP, an award winning provider of innovative online legal risk management solutions. With overall responsibility for aosphere’s entire product strategy, Claire is also head of the group’s three online regulatory subscription services and, most recently, has become an application developer and coder, creating apps which deliver legal content to clients in an instant. She has experience of a wide range of cross-border legal issues, and has led the design and development of aosphere’s financial services regulatory online services.

Prior to joining aosphere, Claire was a senior transactional lawyer in Allen & Overy’s leading corporate practice, advising on public and private M&A, corporate finance and private equity, with a particular interest in cross-border transactions.

Boston – Jan. 28, 2020

The Harvard Club
One Federal Street, 38th Floor
617-542-2070
harvardclub.com/ 

Toronto – Jan. 29, 2020

The National Club
303 Bay Street, Toronto, Ontario M5H 2R1
416-364-3247
thenationalclub.com/

Please fill out and submit the form below with your event selection, and we will reach out to you with further information.

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