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Caleb Woo

Client Success
Artius Global
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15 Feb 2022
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Singapore
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Followed by John Sims, Martha Boyle and 5 others you follow
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Caleb's opinions

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Caleb Woo

How Unsettled Trades can affect your regulatory position for shareholding disclosure

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 ...

25 June 2022 /regulation RegTech

Caleb Woo

Shareholding regulations will require more transparency

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...

21 April 2022 /regulation RegTech

Caleb Woo

U.S. Modernization of Beneficial Ownership Reporting (13D and 13G) is on the way

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...

13 April 2022 /regulation RegTech

Caleb writes about

  • regulation & compliance

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  • 2022 (2)

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