Signal – Shareholding Disclosure Case Study

Case Study

Signal is CSS’s solution for shareholder disclosure notification requirements globally. It tracks threshold violations and generates disclosures based on market-enriched customer holding, security, portfolio and trade data. Signal’s substantial shareholding solution covers long, short and takeover panel reporting across 90 jurisdictions globally. Signal’s client base includes traditional and alternative asset managers, as well as insurance companies and other asset owners.

About the Client

In early summer 2018, CSS was approached by a United States-based, multi-asset manager (the “Client”) that was searching for a solution that would help monitor its securities holdings and track its substantial shareholder obligations globally. Through conversations with the Client’s lead compliance officer, CSS learned that this organization found itself at a stage familiar to many investment managers: a period of rapid growth. With its launch of subsidiary asset management companies in Asia and in the United Kingdom, the Client faced several challenges.

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