FundApps Resources

Shareholding Disclosure (SD)

Automated monitoring of disclosure requirements for major shareholding, short selling and takeover panels. A subscription to aosphere is required for this service.

Sensitive Industries (SI)

Automated monitoring of regulatory threshold for sensitive industries and foreign ownership. A subscription to aosphere is required for this service.

Position Limits (PL)

Automated monitoring of position limits on derivative contracts which are imposed by exchanges across the globe as well as regulators (e.g. CFTC, ESMA via MiFID II). A subscription to FIA Tech's Position Limits Databank is required for this service.

Global Short Selling (GSS)

Filing Manager (FM)

Our Filing Manager module provides access to tools that support the sending and receipt of messages to and from regulators. This allows customers to submit disclosure filings directly to regulators, substantially improving the efficiency of filing via regulatory portals. Integrated into the workflow, users enjoy seamless integration between alerting and submission.

Corporate Actions (CA)

Licensed through our Shareholding Disclosure and Sensitive Industries services and using an industry leading corporate actions dataset, the Corporate Actions service helps reduce the risk of missing important events that can change data used in critical calculations.

Adapptr

Enriches position data. A subscription to Refinitiv's Datascope Select Sharing Disclosure and/or Bloomberg is required for this service.

SD Pre-Trade

Our Pre-Trade service allows clients to monitor on an intra-day basis if new positions or potential transactions will breach regulatory limits or require regulatory disclosures. Since the service uses the same regulatory rules as the FundApps post-trade checks, it ensures consistency between the results of our clients’ pre- and post-trade compliance checks. The Pre-Trade service is accessible via an API and available as an add-on to clients’ current FundApps subscription.

12(d) Investment Company Act (Beta)

Section 12(d)(1)(A)(i) of the Investment Company Act of 1940 in the United States generally restricts investment companies from purchasing more than 3% of another investment company's voting securities. Our rule is designed to monitor exposure to investment companies, predominantly ETFs, which are the primary point of risk for many of our clients.

Hart-Scott-Rodino (Beta)

The Hart-Scott-Rodino Act (HSR) is a federal law passed in 1976 in the United States. The law requires companies to notify the Federal Trade Commission (FTC) and the Department of Justice (DOJ) before a proposed merger or acquisition that meets certain financial thresholds. Our rule is designed to monitor when a pre-merger notification is likely to be required.