Shareholding disclosures are a huge and increasing challenge for compliance professionals

With 400+ rules across the globe that are constantly changing, it’s virtually impossible to stay on top of global shareholding disclosure requirements.

Relying on spreadsheets and other manual processes can lead to operational risks and fines for incorrect/late disclosures.

A fully automated system

Our easy-to-use platform, with its hosted customised rules engine, removes this burden. Built by regulatory specialists using the latest technology, the system has built with users and managers with supervisory responsibilities in mind. The monitoring and reporting tool is accessed via a single user interface.

Features

Our service meets all requirements for long and short disclosures, takeover regimes (including UK Takeover Panel), sensitive industries, issuer requests and research disclosures. Other features include:

  • Disclosure alerts
  • Auditable workflow
  • Ability to add comments, upload/download documents
  • Position searches
  • Ad hoc reports
  • Links to relevant regulation
  • Information on filing the disclosure
  • Management information dashboard
  • 2nd factor security authentication.

The platform covers rules provision and interpretation specific to your business model, including supporting documentation for approval. The rules engine can be configured to specification/rules interpretation.

Support

Support includes:

  • Technical: Rules engine processing, user interface, database administration
  • Business: Rule changes/monitoring
  • Project management
  • Training.

Kaizen provides a watching brief over changes in rules and regulation and updates are promptly actioned. 

Schedule a demo

See how we can help you save time and costs and reduce risk.

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