Demystifying the new Proposed SEC Short Selling form 13f-2 Disclosure – Current versus Proposed
Demystifying the new Proposed SEC Short Selling form 13f-2 Disclosure – Current versus Proposed Post by Suat Kheng, Business Analyst On Feb 25, 2022, the Securities and Exchange Commission (SEC) issued a new Proposed Rule 13f-2 requiring institutional investment managers to file with the SEC, on a monthly basis, end-of-the-month short positions and certain daily […]
Gensler on the move again- this time it is short selling
Gensler is on the move again- this time it is short selling. Post by Caleb Woo, Head of Client Success and Suat Kheng, Business Analyst – Regulations In the case of the Securities and Exchange Commission, Chairman Gary Gensler is becoming a lot vocal post his announcement to review current regulations, proposing regulatory changes in […]
U.S. Modernization of Beneficial Ownership Reporting (13D and G) are on the way
U.S. Modernization of Beneficial Ownership Reporting (13D and 13G) is on the way Post by Caleb Woo, Head of Client Success Back in Nov 2nd, 2021, we raised the awareness that U.S. regulatory reporting looks like it is going to have its first major change in a long while, noting the shareholding disclosure rules are […]
How Unsettled Trades can affect your regulatory position for shareholding disclosure
How Unsettled Trades can affect your regulatory position for shareholding disclosure Post by Suat Kheng, Business Analyst Have you considered the impact of unsettled trades on shareholding reporting? How hard can shareholding disclosure be? Just load your positions and see if you are over the threshold right? Not exactly! Depending on where the securities are […]
Why do organizations struggle with doing shareholding disclosure?
Why do organizations struggle with doing shareholding disclosure? Post by Caleb Woo, Head of Client Success Mandatory shareholding disclosure regulations have been in existence for a long time. Why is it that many financial institutions continue to struggle with it? Legacy Systems: Many financial institutions utilize legacy systems that are incompatible with each other and […]
AGSD – now available on SAAS!
AGSD – now available on SAAS! Post by Caleb Woo, Head of Client Success We are very pleased to announce the availability of our flagship Artius Global Shareholding Disclosure (AGSD) as a SAAS solution! The regulatory trend in the coming years will be more and more changes to Shareholding Disclosure regulations, with country specific regulations […]
With more unicorns surfacing in the U.S., is shareholding disclosure on the cards for private companies?
With more unicorns surfacing in the U.S., is shareholding disclosure on the cards for private companies? Post by Michael Chen, Head of Partnerships “The SEC has over the past decade made it easier for private companies to raise capital, which largely exempts them from the agency’s oversight.” “It also could address the regulatory exemptions that […]
Activists could face less time to report large stakes in U.S
Activists could face less time to report large stakes in U.S Post by Caleb Woo, Head of Client Success U.S. regulatory reporting looks like it is going to have its first major change in a long while, noting the shareholding disclosure rules are more than five decades old! Securities and Exchange Commission Chairman Gary Gensler […]
Shareholding regulations will require more transparency
Shareholding regulations will require more transparency Post by Michael Chen, Head of Partnerships A snippet from the FT on Archegos “regarding bank claims. . . . It will come down to what indemnity was in the loan and swap agreements.” What it fails to address is the market impact of these agreements. What comes to […]
Australia’s ASIC follows up on activist short selling
Australia’s ASIC follows up on activist short selling Post by Caleb Woo, Head of Client Success Maybe not Archegos related, but it’s worth noting the heightened attention to related areas of shareholding disclosures. Recently, the the Australian Securities and Investments Commission (ASIC) just published an update on activist short selling campaigns which involves taking a […]