Global Shareholding Disclosures
Navigate intricate corporate hierarchies, complex fund structures, and exposure to jurisdiction-specific scenarios with a modern, adaptable approach to meeting shareholder disclosure requirements.
One Seamless Platform for All of Your Equity Disclosure Needs
Mitigate operational risk while confidently managing global shareholding disclosure obligations.
We help firms efficiently and effectively manage global shareholding disclosure requirements across more than 100 jurisdictions, complex legal-entity structures, and constantly changing market rules.
Evolution of Granular Regulatory Requirements Across Jurisdictions
Lack of jurisdictional harmonization and constantly changing reporting regimes add cost and complexity to maintaining compliance with shareholder disclosure obligations for firms operating in a global investment landscape.
Resource Inadequacy
Regulators moving towards more frequent disclosures on a wider array of subjects exacerbates the resource crunch of time-consuming, human-intensive processes to manage disclosure submissions at pace.
Unrealized Operational Risk
The combination of manual processes, a disjointed view of datasets sourced from multiple locations, and difficulties tracking and interpreting the latest requirements in near real-time creates a tsunami of unrealized operational risk for firms that mounts with each additional jurisdiction.
Multi-Layered Obligations Based on Organizational Structure
Depending on your corporate structure, firms must decide how to report – across their company, across their group, across their entity – with many different stakeholders and deadlines to consider.
Disclosure Management Designed to Support Firms Handling Equity Investments in Complex Regulatory Environments
To minimize current operational risks and prepare for future regulatory changes, buy- and sell-side firms need automated, flexible, and intelligent systems capable of handling complex data requirements and the timely filing of disclosures required by regulators in more than 100 jurisdictions globally.
- Track accumulations in substantial shareholdings of an issuer or security
- Invest in sensitive industries
- Engage in short-selling
- Become involved in takeover bidding
Investment Banks
Asset Managers
Sovereign Wealth Funds
Pension & Investment Funds
Automated, Flexible Shareholding Disclosure Compliance
Nasdaq AxiomSL integrates data and rules management with robust calculations and reporting templates on a single platform to enable rapid delivery against disclosure obligations with full-chain verification, validation and auditability.
Comprehensive Jurisdictional Coverage
Manage rules governing disclosure thresholds for equity positions in over 100 jurisdictions, and ensure legal mandates and rules are correctly interpreted into calculations and downstream reporting with AxiomSL’s robust data dictionary.
Flexible Rules Library
Leverage our industry-standard rules or your own interpretations to take control over rules application with easy-to-read definitions and sophisticated threshold calculations that enable interpretation of rule changes on the fly.
Automated Processes and Workflows
Benefit from consistent, repeatable workflows based on industry best practices in a user-controlled environment that adapts to your operating model and delivers high-volume processing and intra-day runs.
Transparent and Straightforward Data and Insight Management
Control and monitor end-to-end operational processes via transparent web-based dashboards that interface with client-specific data structures and workflows without the need for data conversion.
What are the Benefits of Nasdaq AxiomSL for Global Shareholding Disclosure Management?
The Nasdaq AxiomSL platform provides a strong foundation for data integrity and control of global shareholding disclosure needs with robust data ingestion, enrichment, processing, validation and reporting.
Meet Evolving Regulatory Needs with Confidence
The combination of our automated, data-driven platform, rules-based approach and industry-standard content significantly reduces operational risk end-to-end by ensuring accuracy of interpretation, reducing false-positive alerts, and decreasing reliance on error-prone manual processes.
Demonstrate a Best Practices Approach to Global Shareholding Disclosure Management to Regulators
Detailed upstream and downstream data flows combine with multi-level sign-off hierarchies and automated, explainable alerts to help demonstrate robust processes and controls.
Balance Standardization and Customization with Complete Control and Workflows to Fit Your Needs
Because each client's makeup, organizational goals, and capabilities are unique, we enable you to balance best practices and customization through user-defined disclosure thresholds and alert management, as well as the operational model you use, timing, and delivery of data across your global operations.
Future-Proof Your Approach to Shareholding Disclosure Management
Our fully SaaS delivery ensures you have not only the latest regulatory rules but also the technological scale and flexibility required to help your organization meet the volume and velocity of complex regulatory changes without drastically impacting your bottom line.
Join a Strong, Trusted Community
With 30+ years of technology and industry expertise across capital markets and banking, we understand the complexities faced by multi-jurisdictional financial institutions and continually modernize our systems to empower your business to thrive and scale. Our commitment to our clients and the broader ecosystem is evidenced by our strong community of 3,500+ financial institutions in 50+ countries.
Learn More About AxiomSL Global Shareholding Disclosures
Nasdaq AxiomSL Global Shareholding Disclosure
Nasdaq AxiomSL’s Global Shareholding Disclosures (GSD) solution helps firms meet reporting requirements with a data integrity and control platform for ingestion, enrichment, processing, validation, and reporting.
Nasdaq AxiomSL Global Shareholding DisclosureRegulators Turn Up the Heat on Global Shareholding Disclosure
Across jurisdictions, the penalties for late shareholding disclosure can be significant, ranging from censure and hefty fines to the loss of advisory license and even imprisonment. In such an environment, firms are typically wise to reassess the robustness of their regulatory reporting platforms sooner rather than later.
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