Global Shareholding Disclosures (GSD)

Provides automated processes and robust rules engine enabling FIs to monitor daily positions, review results, enhance accuracy and report to multiple jurisdictions

Overview


Device Frame
Multiple Jurisdictions and Rules

Regulators in more than 90 jurisdictions around the world require market participants to make specific disclosures when they:

  • Accumulate a substantial shareholding in an issuer/security
  • Invest in a sensitive industry

  • Become involved in a takeover bid
  • Engage in short selling

INHERENTLY COMPLEX

Disclosure rules are inherently intricate and vary widely from jurisdiction to jurisdiction. This creates a major challenge for investment management firms and all other reporting entities that need to comply with regulators’ shareholding disclosure requirements in dozens of jurisdictions.

CHANGING REGULATIONS

Not only must firms constantly monitor changes in their holdings across their entity/group structure, but they must also carefully track changes to shareholding disclosure regulations.

Questions to Consider

  • Do we have access to market data that is required for monitoring?
  • How can we make strategic and scalable reporting decisions given our corporate structure?
  • Do we have a process in place for remaining up to date with changing regulatory requirements?
  • Are we able to process millions of positions and aggregate them accurately?

  • Are we prepared to manage many forms and meet numerous deadlines to monitor and report participation in relevant issuers across jurisdictions?
  • Do we have the capacity to accommodate granular and exacting regulator requirements?
  • Can we easily identify in-scope holdings, beneficial ownership, monitoring levels, thresholds and reporting triggers?

Solution

COMPREHENSIVE and AUTOMATED

AxiomSL’s end-to-end Global Shareholding Disclosures (GSD) solution running on
ControllerView® ― and deployable on its RegCloud® offering ― enables investment management firms and other reporting entities to deliver trustworthy information about their positions and transactions across multiple jurisdictions.

With GSD, firms can remain fully compliant with shareholding disclosure requirements and transparency directives globally, and are positioned to scale with expanding, changing regulatory requirements and data volumes.

Automated complex end-to-end workflow processes and robust rules engine enable users to monitor daily positions, review results, and enhance accuracy.

TRANSPARENT and UP TO DATE

  • Provides a transparent foundation for GSD data ingestion, enrichment, processing, validation, and reporting with auditable data and process governance, and a robust automated reporting structure
  • Delivers data, oversight, and process visibility in clear, concise views with actionable issue resolution

  • Detailed rules monitoring engine and up-to-date rules library covers jurisdictional rules and regulations for 90+ countries enabling firms to accurately monitor position threshold breaches across multiple jurisdictions

POWERED BY THE EquityView DATA DICTIONARY

  • Extendable data dictionary is designed to map against data emanating from multiple position source systems, market data providers, and firm’s legal entity apparatus

  • Implement once, monitor across multiple jurisdictions taking local rules into account, and establish a point-in-time reporting data set

CAPABILITIES

  • Stays current with regulatory changes through seamless updates and local language report functionality
  • Identifies thresholds and triggers across jurisdictions
  • Provides control and monitoring of end-to-end operational processes via transparent Web-based dashboards

  • Delivers data transparency, oversight and process visibility in clear, concise views with actionable issue resolution
  • Enables users to drill down into the source data at any level of granularity

Device Frame

AxiomSL’s Global Shareholding Disclosures Solution Powered by The EquityView Data Dictionary

A Transparent Framework to Generate A Point-in-Time Reporting Data Set

AxiomSL’s Global Shareholding Disclosures (GSD)

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Learn more about AxiomSL’s Global Shareholding Disclosures solution

Benefits

Efficiently monitor and report on substantial holdings, sensitive industries, short selling, takeover and industry limits for all jurisdictions

Accurately and easily monitor position threshold breaches across multiple jurisdictions

Be in continuous alignment with frequently changing regulatory requirements across multiple jurisdictions

By deploying GSD on RegCloud, achieve scale and performance objectives to handle data volume and disclosure frequencies and benefit from best-practice cloud security and maintenance

Leverage GSD’s flexibility, automation, and transparency to easily implement firm’s own interpretations of the rules, when required

Strengthen auditability and insight through comprehensive data lineage

Deep Dive

A Complex Landscape

Across more than 90 jurisdictions, regulators are paying close attention to shareholding monitoring.

Learn how AxiomSL’s Global Shareholding Disclosures solution enables firms to meet their reporting requirements in all jurisdictions, on a single platform.

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