Don’t Forget Your 13F: The Peril of Not Filing ⚠️
Post by Caleb Woo, Head of Client Success Don’t Forget Your 13F: The Peril of Not Filing ⚠️ Imagine you are running a secret club where the members are professional, big or influential investors. The U.S. Securities and Exchange Commission (SEC) is not interested in your secret handshakes, but they definitely want to know what stocks are […]
The Critical Role of Regulatory Compliance and Reporting Disclosures in Financial Markets
Post by Michael Chen, Head of Partnerships The Critical Role of Regulatory Compliance and Reporting Disclosures in Financial Markets In today’s complex financial landscape, regulatory compliance reporting and disclosures serve as the backbone of transparency, integrity, and trust. They are not just legal requirements—they are foundational to preserving the stability and credibility of financial systems. Recent […]
Understanding Singapore’s Significant Investments Review Act
Post by Michael Chen, Head of Partnerships Understanding Singapore’s Significant Investments Review Act These ownership and control provisions over a handful of designated entities apply to all holders of the designated entities and they are required to abide by these regulations. The Significant Investments Review Act (SIRA) in Singapore has been effective from March 28, 2024, […]
U.S. SEC File Charges Against Firms For Not Filing Shareholding Disclosure Reports
Post by Michael Chen, Head of Partnerships U.S. SEC File Charges Against Firms For Not Filing Shareholding Disclosure Reports The U.S. Securities and Exchange Commission (SEC) has taken a significant step toward greater transparency by issuing fines against 11 institutional investment managers for failing to file required Forms 13F. These forms are used to disclose shareholdings […]
SEC Short Sale Disclosure Rule, More To It Than Meets The Eye
Post by Michael Chen, Head of Partnerships SEC Short Sale Disclosure Rule, More To It Than Meets The Eye SEC adopted Short Sell Disclosure Rule 13f-2 on October 13, 2023 under the Exchange Act and it will go live on 2 January 2025. The purpose for the rule aims to increase transparency around short selling […]
South Korea Short Selling – FSC Announces Comprehensive Short Selling Reforms
Post by Michael Chen, Head of Partnerships South Korea Short Selling – FSC Announces Comprehensive Short Selling Reforms The Financial Services Commission (FSC) of South Korea has unveiled a series of reforms aimed at tightening regulations around short selling. These changes are designed to enhance market transparency, protect investors, and curb illegal activities. Here’s a detailed […]
Sanctions – Stay Compliant or Pay the Price
Post by Michael Chen, Head of Business Development and Partnerships Sanctions – Stay Compliant or Pay the Price In recent months, the regulatory landscape witnessed a significant tightening of compliance measures across various jurisdictions. This shift is marked by a series of hefty fines imposed on entities for failing to adhere to disclosure and reporting obligations. As […]
Artius Global Wins Best Shareholding Disclosure Solution at Regulation Asia Awards for Excellence 2023
Download Press Release SINGAPORE, 12:00 PM SGT, THURSDAY, 16 NOVEMBER 2023 PRESS RELEASE – ARTIUS GLOBAL WINS BEST SHAREHOLDING DISCLOSURE SOLUTION AT REGULATION ASIA AWARDS FOR EXCELLENCE 2023 Artius Global today announced that it has been awarded the prestigious Regulation Asia Awards for Excellence 2023 for the Best Shareholding Disclosure Solution. The Regulation Asia Awards for […]
SEC’s T+1 Implementation Set for May 28, 2024 – Are You Ready for the Change?
Post by Tan Guo Jian, Product Manager US SEC T+1 SETTLEMENT TO BE IMPLEMENTED ON 28 MAY 2024.ARE YOU READY FOR THE CHANGE? On February 15, 2023, the U.S. Securities and Exchange Commission (SEC) announced changes to shorten the standard settlement cycle for securities transactions to T+1, effective May 28, 2024. The SEC believes that […]
SEC Proposes New Disclosure Rule for Security-Based Swap Positions
Post by Abraham Teo, Head of Product and Marketing SEC PROPOSES NEW DISCLOSURE RULE FOR SECURITY-BASED SWAP POSITIONS The 2008 financial crisis and the collapse of Archegos Capital Management in March 2021 have been attributed to the role of Security-Based Swaps according to SEC Chair Gary Gensler. The SEC has proposed a new rule, Rule […]