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White Paper

Modernizing Shareholding Disclosures: Navigating Regulatory Evolutions in Asset Management

Investment firms in the United States are bound by a regulatory framework that mandates transparency, particularly in the disclosure of significant ownership stakes. This transparency is crucial for the integrity of financial markets, enabling investors to make informed decisions. Sections 13(d), 13(g), and 13(h) of the Securities Exchange Act of 1934, along with Section 13(f), lay the foundation for this disclosure regime.

The essence of shareholding disclosure regulations is rooted in the need for transparency regarding the ownership structures of publicly traded entities. It’s fundamental for investors to understand who holds significant power in these companies, especially those capable of influencing control. This knowledge is essential not only for making well-informed investment choices but also for assessing risks linked to concentrated ownership or activist investors.

This white paper delves into the complexities of these regulations, highlighting recent trends, the pivotal role of technology in enhancing compliance efficiency and accuracy, and how fund managers can leverage technological advancements to gain strategic advantages in a competitive market.

This white paper examines the following topics:

  • Detailed Examination of Disclosure Schedules (Schedule 13D, Schedule 13G, Schedule 13H)

  • Recent Trends in Shareholding Disclosures

  • The Power of Technology: Compliance and Strategic Insight