25 Jun 2022
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 listed, different jurisdictions impose different requirements on the reporting of trades and the rules differ ...
21 Apr 2022
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 mind is that increased market transparency and disclosure is needed. With regulators continually demanding greater transparency to...
13 Apr 2022
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 more than five decades old! Original post The 13D and 13G are reports sent to the SEC from shareholders who own more than 5% of the voting class of a publ...