Shareholding Disclosure
Comprehensive articles on Shareholding Disclosure (SD) processes and requirements.
85 articles
Portfolios & Aggregation
Insights into portfolio settings and aggregation.
Positions File Basics
Guidance on how to correctly manage and submit position files.
- Underlying and Inheritable Properties
- Multi-Levelled Assets
- Calculating Equivalent Shares
- Equity Derivatives and Spinoffs
- Preference Shares and Convertible Preference Shares
- Warrants on Composites
- Convertible Bonds and Warrants
- Credit Default Swaps (CDS) and Credit Default Swap Index (CDX) Positions
- Issuer-Related Denominator Properties
- The MarketsListedIn Property
- Securities Financing Transactions
- Notional Property
- Settlement Date Reporting
- TotalIssuedNominalCapital Property
- Index Derivatives and Equivalent Shares
- How to Set ExecutionVenue
- IsREIT Property
- Guide to ADRs - DRType
- Blocker Provisions
Rules & Results
Detailed explanations of the rules are coded and how to interpret results.
- Positions in Scope for Shareholding Disclosure
- Shareholding Disclosure: Result Types & Icons
- Guide to Result Rejections
- Understanding How a Rule is Coded
- Rules Screen Explained
- Why Is it Necessary to Approve New Rule Versions?
- Four Reasons Not to Deactivate Rules
- Guide to aosphere Memo Updates
- Our Policy on Deviating from aosphere Memos
- How Do Rules Account for Multi-Levelled Assets?
- Automated Community Denominator Check
- Issuer Limit Rules: Explained
- FundApps Control Rules
- Percentage Rounding for Thresholds
- Foreign Exchange Rates
- Portfolio Viewer
- Manually Reviewing Results
- Room-In-A-Name
Major: U.S. Rules
Country-specific articles covering best practices, regulations, and disclosures for the US.
- Proposed SEC Changes FAQ
- SEC Schedule 13G Rule Changes
- Securities with an "Alternate Means of Registration" under U.S. Section 12
- MajorUS-13G, MajorCA-AMRS and MajorJP-SRS: How to Indicate Issuers That Are Disqualified from the Regime
- Has13GDisclosureRequirement Property
- 13G Form Properties
- Form 13F Structure and Property Requirements
- Properties for the 13F Cover and Summary Pages
- Notes on Various 13F Portfolio Properties
- 13F List Option CUSIP Matching
- 13F - De Minimis Positions
- How to Exclude OTC Options from 13F Reporting
- How to Resolve 13F Missing Data for MarketValueInInstrumentCurrency
- Re-Running Files After the SEC Updates the Official 13F List
- 13f-2 US Short-Selling Service
- 13f-2: Result Types & Icons
- The 13f-2 Form SHO Properties Page
- How to "Qualify" Issuers for US 13G When US 13D Is the Default Regime
- 13F Security Data and Eligibility
- How Global Settings Affect the 13G Disclosure Form
Major: E.U. Rules
Country-specific articles covering monitoring practices, regulations, and disclosures for the EU.
Major: Japan Rules
Country-specific articles covering monitoring practices, regulations, and disclosures for Japan.
Takeover Rules
Articles focused on takeovers and similar events.
European Short-Selling Rules
Guidance on European Union Short Selling Regulation compliance.
- EU SSR Rules Netting Explained
- EU Short Selling Regulation (SSR) Aggregation
- FIRDS, Primary Market, and the EU SSR
- PercentEUDebtOutstanding and TotalDebtOutstanding
- IssuerName and Government Bonds - Property Use in SSR Bonds Rules
- Sovereign Bond Index Weighting Under the EU Short Selling Regulation (SSR)
- The EU SSR ESMA Exempt List
- Upcoming Changes to the UK Short Selling Regime (SSR)