SD Rule Add-Ons

Hart-Scott-Rodino

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.
Required Properties to add HSR onto SD

12D

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.
Required Properties to add 12D onto SD

SEBI Foreign Portfolio Investor

SEBI Circular No. SEBI/ HO/ AFD/ AFD -PoD -2/ CIR/ P/ 2023/148 dated 24 August 2023 places certain limits on the holdings of foreign investors in Indian equities. Our rules are designed to monitor exposure to those limits, specifically section C(7) of the Circular.
Required Properties to add SEBI onto SD