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SEC Rule13f-2 Webinar

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January 2025 is fast approaching – is your firm ready for 13f-2?

Firms that were previously dedicating few resources to complying with these rules must now assess whether their current reporting infrastructure can sufficiently support the new timing and data requirements.

Fill out the form to watch our recent webinar with n-Tier, TabbFORUM, and Schulte Roth & Zabel LLP.

 

In this comprehensive conversation, we unpack:

  • The latest SEC short position reporting requirements, and what these changes mean for your firm.
  • Best practices in short position reporting and compliance, as well as valuable insights that can enhance your firm’s regulatory approach.
  • How the right solution can streamline your compliance processes, reducing the risk of errors and ensuring your organization remains compliant.
  • And much more!
Table of Contents
  • Introduction
  • A Brief Back & Ahead
  • CAIS Phase 2e: A New Era
  • How Well Do You Know Your Customer
  • Data Validation Obligations
  • Security and Protection of Customer Information
  • A New & Unparalleled Toolkit for Regulators
  • Conclusion

About n-Tier

n-Tier is an innovative technology company that couples deep industry expertise with a unique software platform to help firms manage the accuracy and completeness of their critical business data. n-Tier’s clients range from global leaders to small and mid-size companies in various industries including finance, pharmaceuticals, and insurance.  Our platform is highly configurable, has low IT impact and can be installed locally or used as part of our cloud offering.

Experience Our Solutions

Find out how to leverage a configurable solution for monitoring and managing data completeness and accuracy, across critical business processes.
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