Breakfast Brief – Substantial Shareholder Disclosure & Position Limit Monitoring

TradeChannel, now part of CSS (Compliance Solutions Strategies), are happy to invite its clients and business colleagues to a morning brief with focus on the complex variations and intricacy in shareholding disclosure and position limit requirements.

Our colleague Mike Marmo will be on the road to share his insights, with the objective to break down and explore how firms can tactically and strategically cope with and stay ahead of the data challenges, filing nuances, and legal structure complexities of shareholding disclosures and position limit monitoring. 

Agenda Stockholm

08:30-09:00 Welcome breakfast and coffee

09:00-09:15 Welcome and introduction to CSS

09:15-10:00 Substantial Shareholder Disclosure

  • Data Challenges – Breakdown of common challenges while evaluating holdings
  • Filing Nuances – How to stay ahead of the “who, how, when and where” to file
  • Legal Structure Complexities – Understanding and coping with reporting entity structure

10:00-10:15 Coffee Break

10:15-11:00 Position Limit Monitoring

  • Reference Data Translations – Steps to understand which market reference data codes equate to exchange specific product codes
  • Spot Effective Date – Coping with various effective dates for spot limit compliance
  • Aggregation – Reduce exposure when monitoring holdings against position limits

11:00 Closure

When: 27 March 2019

Where: Stockholm - Barnhusgatan 16 111 23 Stockholm Sweden 
at TradeChannel’s premises.

If interested in this event or if you have any questions, contact Andreas Bergh at or call at tel. +46 8 1213 9519

About the speaker

Mike leads the Signal team at Compliance Solutions Strategies (CSS). Mike has 14 years of FinTech experience and a strong background working with traders, portfolio managers, and back office personnel to implement financial solutions. Prior to joining CSS, Mike served as a Compliance Implementation Manager for Charles River OMS.

We look forward welcoming you.

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