Global Shareholding Disclosures: Global Regulations, Local Complexities
Shareholding Disclosure is a complex area of compliance and investors face a myriad of different reporting obligations across the globe. Some of the key challenges for compliance professionals are:
• understanding the legal rules across the world and keeping on top of legal changes,
• using accurate market data to correctly calculate disclosable positions
• automating the monitoring and reporting of positions to stay compliant.
With high stakes for non-compliance, including fines, reputational damage and criminal sanctions, it is important to get to grips with these challenges.
Join Refinitiv, Artius Global and aosphere for a discussion on Shareholding Disclosure, including both long and short position reporting, and how to manage the compliance risk.
4:00pm - Registration & Networking
4:30pm - Welcome address
4:35pm - Shareholding Disclosure: The Regulatory Landscape
Faye Sutherland, Head of Shareholding Disclosure and Claire Farley, Executive Director,
aosphere LLP
4:50pm - Impact of Market Data on Monitoring and Accurate Disclosures
Wenlin Juang, Market Development Manager, Pricing & Reference Services
5:05pm - Automating Monitoring and Reporting to Stay Compliant
Jacqueline Pang, Co-Founder and Managing Director, Artius Global
5:20pm - Panel discussion on "Managing Shareholding Disclosure Risks"
5:50pm - Closing and Networking
7:00pm - Event Close
Event info
-
Date
Wednesday, 25 September 2019 -
Time
4.00PM - 7.00PM (Networking will take place after the presentations) -
Location
Refinitiv, One Raffles Quay, North Tower, #28-01, Singapore 048583 -
-
Speakers
Faye Sutherland Head of Shareholding Disclosure, Aosphere LLP
Faye is Head of the Rulefinder Shareholding Disclosure service at aosphere LLP. Faye qualified as a lawyer in 2001 and worked in Allen & Overy's banking group before joining aosphere in 2008 for the development and launch of Rulefinder Shareholding Disclosure.
As Head of the Shareholding Disclosure service, Faye has oversight and responsibility for the legal content and development of the product. The service provides details of the rules regarding substantial shareholdings, short selling, sensitive industries (foreign investor and sector limits), takeovers and issuer requests for over 90 countries.
Claire Farley Executive Director, Aosphere LLP
Claire is an Executive Director at aosphere LLP. With overall responsibility for aosphere's entire product strategy, Claire is also head of the group's three online regulatory subscription services. She has experience of a wide range of cross-border legal issues faced by compliance professionals, and has led the design and development of aosphere's financial services regulatory online services.
Prior to joining aosphere, Claire was a senior transactional lawyer in Allen & Overy's leading corporate practice, advising on public and private M&A, corporate finance and private equity, with a particular interest in cross-border transactions. Allen & Overy LLP is a leading international law firm with 44 offices in 31 countries worldwide.
Wenlin Juang Market Development Manager, Pricing & Reference Services
Wenlin is the Market Development Manager for Pricing & Reference Services in Asia, responsible for driving growth strategies of the valuation and risk management solutions for banks and investment managers. She joined Refinitiv in 2007 and led several key strategic projects related to China internationalization including Shanghai-HK Stock Connect and the development of RMB bond quotes in Hong Kong.
Prior to joining Refinitiv, Wenlin build the account team focusing on fund management sector at Standard Chartered Bank in Hong Kong and she also held key positions in sales and investment management at various Wall Street firms in both New York and Asia. Wenlin has an Executive MBA degree from Kellogg School of Business at Northwestern University in the United States.
Jacqueline Pang Co-Founder and Managing Director, Artius Global
Jacqueline is Co-founder and Managing Director of Artius Global, a Regtech. Its flagship product provides a comprehensive solution for shareholder disclosure. After spending almost two decades in investment operation and technology delivering complex large-scale projects in global financial institutions, Jacqueline saw a huge opportunity in digitalizing risk and compliance solutions. She decided that her multi-disciplinary practitioner experience would be put to good use in a Fintech start-up. As a co-founder of Artius Global, she is primarily responsible for business development and strategy. She is a core member of the product development team for the company’s flagship technology for shareholder disclosure.
Prior to Artius Global, Jacqueline was Director & Head of Operations (Asia Pacific) at Prudential Asset Management, COO (Investment) at NTUC Income Insurance and subsequently, Director & Head of Operations & Technology (Asia Pacific) at Russell Investment Group.
Registration Form
Complete the form below to save a seat.
By submitting your details, you are agreeing to receive occasional communications about Refinitiv resources, events, products, or services. You also acknowledge that you have read and understood our Privacy Statement.By submitting your details, you are acknowledging that you have read and understood our Privacy Statement.
OUR PARTNERS
