Webinar
The shifting landscape of US beneficial ownership and position reporting
Navigate the gray areas of 13D, 13G, 13F, Section 16, and NPX with leading legal and technology insights.
Watch this discussion on what the shifting US beneficial ownership and position reporting landscape means for regulatory compliance, SEC enforcement priorities, data aggregation and operational controls.
This fireside chat between Ivaylo Miladinov, Regulatory & operations expert at AQMetrics and Katie Klaben, Partner, Capital Markets at Sidley Austin, explores how firms are navigating complex regulatory gray areas in practice, where key operational pressure points may emerge under new SEC mandates, and what robust position monitoring should look like as compliance expectations evolve.
– How the SEC is engaging on interpretive questions and the practical value of market consensus
– Navigating fact-driven 13D and 13G obligations, including the unique challenges faced by non-US managers
– Demystifying 13F reporting quirks, from parent-subsidiary aggregation rules to the treatment of options and swaps
– Managing the operational burden of the annual Form NPX filing
– How to operationalize position monitoring and automated controls to prevent costly manual errors and filing defaults