Episode 1

The rules

• What are the rules and how do I keep on top of the changes?
• What market data do I need and how do I use this to correctly calculate my position?
• What are some important nuances that get over-looked?

Sensitive industries

• What are the additional considerations for trading in sensitive sectors (finance, defence, etc.)?

Episode 2

Major position reporting 

• What do you need to report?
• What is a significant percentage?
• Which securities are in scope?
• How do the aggregation rules impact major position reporting?

Short position reporting 

• What are the rules?
• Which of these rules have undergone recent changes?
• What are the main differences to major position reporting that should be considered?

Episode 3

Takeover bid reporting

• What are the rules?
• Where have there been examples of reporting obligations without issuer lists from the regulators?
• How can you keep track of issuers which are in an offer period?

Issuer threshold

• Individual level rather than statutory level
• Challenges around meeting issuer thresholds reporting obligation

Sourcing data

• How can you get the right data to accurately calculate your positions?
• How can you implement an end-to-end solution?
• Moving away from manual processes and endless excel sheets
• Meeting deadlines
• Confidence in your accuracy

Director, Corporate Actions

Harish is the Director of Corporate Actions & Shareholding Disclosure for Refinitiv, where he is accountable for managing and developing the content and product strategy for Corporate Actions & Shareholding Disclosure offering across various Refinitiv products. 

He has been at Refinitiv for over 15 years and has a background in managing global content operations and specialist functions within Financial and Risk. He has also held various content strategy roles driving innovation and developing solutions (products and services) for the investment and advisory business. 

Head of Rulefinder Shareholding Disclosure

Faye is a senior lawyer at aosphere LLP and Head of the Rulefinder Shareholding Disclosure service. 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 95 countries.

Product Manager

Gaurav Chandra is the global product manager for AxiomSL’s Global Shareholding disclosure product. He has designed and built AxiomSL products for 5 years and is responsible for ensuring these solutions are continuously enhanced and up-to-date with current regulations. Gaurav brings over a decade of experience working in the regulatory reporting space, primarily as a solution architect, but also heavily involved in on-site functional consulting and implementation for financial institutions in APAC and EMEA.

Enterprise Proposition Sales

Head of Product Development

Claire is an Executive Director and Head of Product Development at aosphere LLP in London. With overall responsibility for aosphere's entire product strategy, Claire is also head of the group's three online regulatory subscription services and is an application developer and coder, creating expert systems which deliver legal content to clients in an instant. 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.