Global Thresholds: Shareholder Disclosure & Position Limits

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

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