U.S. Roundtables: Global Thresholds with Focus on Shareholder Disclosure & Position Limits

- Los Angeles - San Francisco - Chicago

Due to the complexities in shareholding disclosure requirements which have created significant challenges for firms to remain compliant, CSS is hosting roundtables in Los Angeles (November 12), San Francisco (November 13) and Chicago (November 14).

The objective of these roundtables 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 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.

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 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, 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.

Los Angeles – November 12
Jonathan Club
545 S. Figueroa Street
Los Angeles, CA 90071
www.jc.org

San Francisco – November 13
The University Club of San Francisco
800 Powell Street
San Francisco, CA 94108
www.uclubsf.org

Chicago – November 14
Union League Club of Chicago
65 West Jackson Boulevard
Chicago, IL 60604
www.ulcc.org

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

Loading form...

Latest Content

Introducing the Regulatory Book of Record (RBOR)

I recently had the opportunity to sit down with our Chief Product Officer Ronan Brennan to discuss regulatory data management in front of an intimate and engaged audience of CSS conference attendees in Scottsdale, Arizona. The group ranged from small fund managers to large institutional asset managers, so it was difficult to boil down the … Continued

SEC Proposes Amendments to Advertising Rules

In a proposal that would mark the first changes since 1961, the SEC has introduced amendments to modify the “Advertisements by Investment Advisers” Rule 206(4)-1 of the Investment Advisers Act. Changes to the rule would allow for testimonials and social media practices beyond that currently allowed, and performance marketing subject to new requirements. Some parts … Continued