Tag: SEC Rule 13D-G

The big picture: a global perspective on U.S. disclosure regulations

Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.

ESG reporting and SEC amendments: key changes you should know

Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.

How are investors impacted by the modernization of the beneficial ownership reporting in the US?

The modernization of the Beneficial Ownership reporting has been a long-discussed topic by the Securities and Exchange Commission (“SEC”) in the U.S. It therefore comes as no surprise that the adoption of amendments to Regulation 13D-G a few days ago is big news, as a large number of investors will have to comply with the […]

Making the right adjustments: managing liquidity risk for SEC Rule 22e-4 compliance

Introduction One of the many lessons learned from recent financial crises is that under unpredictable circumstances, the liquidity of traded financial instruments can nearly vanish. As we saw in those instances, this lack of liquidity coupled with the highly interconnected nature of modern derivatives, can lead to massive fund redemptions, which naturally increases the pressure […]