The first responsibility of any compliance professional is to understand the shareholding disclosure obligations that your firm must comply with. As an investment company, this need to understand the substantial shareholding regulatory obligations can be compounded by the firm’s investment strategy. For firms that have a very broad investment strategy both in terms of geography and instruments, the compliance team not only has to understand the rules and regulations within the country where the firm resides but every country where the firm is investing. Thus, placing a greater need for the compliance team to monitor regulatory change and manage the impact to the firm before it becomes a liability.
Knowledge and Expertise
The team at Solutions Atlantic knows the great complexity of monitoring, understanding and correctly applying the substantial shareholding rules and regulations that govern investments made in different markets. That’s why we have developed a deep knowledge for the rules and regulations that address large position, short position, and takeover disclosures. Our team is fully supported by a global network of subject matter experts, legal consultants and compliance professionals who have a strong working knowledge of the regulatory obligations. At the heart of our knowledge base is Rulefinder and the team at aosphere LLP, an affiliate of Allen & Overy. Rulefinder provides shareholding disclosure regulatory intelligence across more than 90 jurisdictions enabling the subject matter experts at Solutions Atlantic to focus on the design of the rules instead of interpreting them. These experts and tools, enable our team to successfully implement over 200 applicable rules and regulations for shareholding disclosure obligations in over 90 jurisdictions and growing.
Currently, more than 90 jurisdictions make up the Regulatory Reporting System Rules Library. The RRS Rules Library continually expands as the needs of our customers and regulatory demands require. Customers who use the RRS Rules Library have access to our experts prior to any implementation of the rules. With our clients, our experts will review the current shareholding disclosure regulatory requirements, discuss our understanding of the obligation and agree the implementation of the requirement for the firm. Our experts remain engaged throughout the implementation and after to provide continual rule support. Customers have complete access to our experts to discuss rule changes and jurisdiction expansion.
Our team of experts are also available for consultation. For more information on speaking to our experts or on the RRS Rules Library please click here.