October 2023 White Paper
Overview, Data Elements to Report, Differences Between SEC 10c-1a and ESMA/FCA SFTR, In-Scope Reportable Securities and Reporting Persons, Reporting Agent Requirements, Timelines That Reported Information is Made Public, SEC 10c-1a Regulation Timelines
Overview, Section 1446(f) Withholding Tax Exceptions, Regulatory Timelines, Withholding Agent Responsibilities, Key Considerations for Brokers in Preparing for Rule Compliance, Illustrative Example of 1446(f) Withholding Tax Workflow
Overview, CSRD Minimum Disclosure Requirements, Regulatory Timelines, Purpose and overview of European Sustainability Reporting Standards (ESRS), Example of ESRS Sustainability Statement Structure & Disclosures
Overview, Form SHO Reporting, Securities In Scope of Rule 13f-2, Calculation Methodology for Each Reporting Threshold, Form SHO Information Tables, Public Reporting by the SEC, Amendment to the CAT NMS Plan
