TSAM Fireside Chat: Global Shareholding Disclosures – Rules, Data and Their Convergence featuring AxiomSL’s Gaurav Chandra and Hopeton Lindo

To comply efficiently with global shareholding disclosures requirements, investment management firms must source large volumes of disparate data and marry that data to ever-changing rules across multiple jurisdictions.
During a Fireside Chat at TSAM’s Summit for Asset Management, AxiomSL’s Gaurav Chandra, Product Manager, Shareholding Disclosures and Hopeton Lindo, Director of Client Relationships, Asset Management discussed Global Shareholding Disclosures – Rules, Data and Their Convergence.
Lindo and Chandra explore the primary challenges investment management firms face:

  • Disparate data – Firms must source large volumes of data (shareholding, market, and other required data) that emanate from multiple upstream systems
  • Complex, changing rules – Firms must source and correctly interpret many rules from across multiple jurisdictions


Typically, firms manage their global shareholding disclosure data separately from the regulatory rules creating a siloed environment that is error prone and inefficient. To avoid that pitfall, Chandra and Lindo argue that firms need to converge data and rules to manage global shareholding disclosures monitoring and reporting accurately and efficiently.

A single data management platform will enable firms to overcome the persistent hurdles, providing a holistic view, explained Gaurav, and layering a rules engine on top will “help to stop the forced decoupling of rules management and data management.”

But converging data and rules is not the only challenge. During their chat, Chandra and Lindo discuss how market forces have contributed heavily to the complexities of global shareholding disclosures. Firms have faced rapid-fire regulatory rule changes driven by the pandemic crisis. And a flurry of M&A in the investment management industry has altered many firms entity/fund structures forcing them to rethink how to collect, aggregate and/or disaggregate data for global shareholding reporting.

Listen to the chat to learn about these challenges and the emergent, complicated Sensitive Industries scenarios, where industry classification and many more regulators come into play.



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