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Anonymous
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Anonymous
Asked: December 9, 2022In: General

Should I join the Investment Compliance division in an Investment Management firm?

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Should I join the Investment Compliance division in an Investment Management firm?

I have no prior working experience. However, I have an opportunity with a top Investment Management firm in their Investment Compliance Division. Should I join? How lucrative is the Investment compliance division of an Investment Management firm?

I have no prior working experience. However, I have an opportunity with a top Investment Management firm in their Investment Compliance Division. Should I join? How lucrative is the Investment compliance division of an Investment Management firm?

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Matt_smith
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Matt_smithContributor
Asked: March 28, 2022In: General

Preferred OMS for Compliance monitoring

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Which OMS do you prefer for investment compliance monitoring and why?

Which OMS do you prefer for investment compliance monitoring and why?

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Anonymous
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Asked: December 21, 2022In: General

Compliance role in value creation

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What benefits does investment compliance bring to the stakeholder(s)?

What benefits does investment compliance bring to the stakeholder(s)?

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Anonymous
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Anonymous
Asked: December 21, 2022In: General

Wash Sale

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Wash Sale

What is a Wash Sale and what controls can investment compliance put in place to monitor Wash Sale?

What is a Wash Sale and what controls can investment compliance put in place to monitor Wash Sale?

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Anonymous
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Asked: November 5, 2022In: ESG

Is Climate Bond Standard Board a regulatory body?

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Is Climate Bond Standard Board a regulatory body?

Is Climate Bond Standard Board a regulatory body?

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Doctor_Who
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Doctor_WhoBeginner
Asked: October 27, 2022In: Regulatory

What are transferable securities as defined in UCITS?

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What are transferable securities as defined in UCITS?

What are transferable securities as defined in UCITS?

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Doctor_Who
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Doctor_WhoBeginner
Asked: October 19, 2022In: General

What the the biggest challenges you face related to Investment compliance monitoring?

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What the the biggest challenges you face related to Investment compliance monitoring? It can be system related, process related or people related.

What the the biggest challenges you face related to Investment compliance monitoring? It can be system related, process related or people related.

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Matt_smith
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Matt_smithContributor
Asked: March 29, 2022In: ESG

Investable universe for ESG funds

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In you opinion, will adherence to ESG strategy impacts the performance of the fund negatively compared to non ESG funds (assuming investment in same asst classes) by limiting the scope of investment?

In you opinion, will adherence to ESG strategy impacts the performance of the fund negatively compared to non ESG funds (assuming investment in same asst classes) by limiting the scope of investment?

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Matt_smith
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Matt_smithContributor
Asked: March 28, 2022In: ESG

ESG Vendors

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Who is a better vendor for ESG related data in your opinion?

Who is a better vendor for ESG related data in your opinion?

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Anonymous
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Anonymous
Asked: December 21, 2022In: ESG

ESG transition

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ESG transition

How long of a transitional period is sufficient for ESG transition of an existing fund?

How long of a transitional period is sufficient for ESG transition of an existing fund?

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