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?
Read lesscomplquery Latest Questions
Matt_smithContributor
In your opinion and current financial environment, which one is better growth engine between organic and inorganic growth for an asset manager?
In your opinion and current financial environment, which one is better growth engine between organic and inorganic growth for an asset manager?
Read less
prof.mattsmithBeginner
What is the most challenging financial instrument from a compliance monitoring perspective?
What is the most challenging financial instrument from a compliance monitoring perspective?
Read less
Matt_smithContributor
Who is a better vendor for ESG related data in your opinion?
Who is a better vendor for ESG related data in your opinion?
Read less
Matt_smithContributor
Should securitized bonds be included in the latest amendment to sec 12d1 of 40 Act
Should securitized bonds be included in the latest amendment to sec 12d1 of 40 Act
Read lessShould asset managers consider a security illiquid if they are in possession of material non public information on its issuer?
Should asset managers consider a security illiquid if they are in possession of material non public information on its issuer?
Read lessWhich OMS do you prefer for investment compliance monitoring and why?
Which OMS do you prefer for investment compliance monitoring and why?
Read less
Do you agree with the proposed threshold of 80% of the minimum proportion of investments for the use of any ESG-, or impact-related words in the name of a fund?
Do you agree with the proposed threshold of 80% of the minimum proportion of investments for the use of any ESG-, or impact-related words in the name of a fund?
Read less
Matt_smithContributor
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?
Read less
Do you agree with the need to introduce quantitative ESG thresholds to assess funds’ names?
Do you agree with the need to introduce quantitative ESG thresholds to assess funds’ names?
Read less