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. During this webinar, our expert speakers CSS Regulatory Expert Greg Hotaling, aosphere Senior Associate Manisha Ramchurn and asophere Executive Director Claire Farley will discuss:
Substantial Shareholder Disclosure:
- Regulatory Challenges – Aggregation, sensitive industries and more
- Data Sourcing – Common challenges when evaluating holdings
- Filing Nuances – Disclosure data, submission procedures
Position Limit Monitoring
- Application of the Limits — Exchange codes, spot periods
- Position Calculation – Netting, diminishing balances and more
Fill in the form below to watch this ComplianceCast.
Subscribe to CSS Blog
CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.