Upcoming ComplianceCasts™

CSS with aosphere presents: Global Thresholds with Focus on Shareholder Disclosure & Position Limits

Date: Thursday, Jan. 30, 2020
Time: 10 am – 11 am ET
(Can’t make it? Replay is available for all registrants.)

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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What Are ComplianceCasts™?

The Compliance Solutions Strategies team offers ComplianceCasts, a customized web-based curriculum for IAs, BDs and hedge funds. ComplianceCasts intuitively examines the relationships between key regulatory issues and real-world business operations, addressing the educational needs of compliance officers and staff. Designed for your whole firm, ComplianceCasts are run by Ascendant experts with more than 25 years of experience in developing compliance training programs.

ComplianceCasts training focuses on key areas of interest for compliance, operational, and management personnel. Each ComplianceCasts session further integrates annual review compliance concepts, appropriate testing considerations, and SEC examination issues because we believe those frameworks must always be reviewed for a complete understanding of all compliance issues.

You will access ComplianceCasts via our secure link and view state-of-the-art active presentations – all you need is a web browser and a phone line to participate in real-time responses by panelists and information sharing with other participants.

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