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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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Matt_smith
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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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Asked: November 5, 2022In: General

What are the key skillset required for a compliance officer role?

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What are the key skillset required for a compliance officer role?

What are the key skillset required for a compliance officer role?

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Asked: October 27, 2022In: Regulatory

In your opinion, which regulatory framework is more investment friendly?

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In your opinion, which regulatory framework is more investment friendly?

In your opinion, which regulatory framework is more investment friendly?

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Asked: December 10, 2023In: Regulatory

What are the challenges and opportunities faced by UCITS (Undertakings for Collective Investment in Transferable Securities) when marketing outside Europe, particularly in regions such as Asia, Latin America, and the Middle East/Africa?

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What are the challenges and opportunities faced by UCITS (Undertakings for Collective Investment in Transferable Securities) when marketing outside Europe, particularly in regions such as Asia, Latin America, and the Middle East/Africa?

What are the challenges and opportunities faced by UCITS (Undertakings for Collective Investment in Transferable Securities) when marketing outside Europe, particularly in regions such as Asia, Latin America, and the Middle East/Africa? Read more

What are the challenges and opportunities faced by UCITS (Undertakings for Collective Investment in Transferable Securities) when marketing outside Europe, particularly in regions such as Asia, Latin America, and the Middle East/Africa?

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Matt_smith
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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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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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prof.mattsmith
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Asked: November 5, 2022In: General

What is the most challenging financial instrument from a compliance monitoring perspective?

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What is the most challenging financial instrument from a compliance monitoring perspective?

What is the most challenging financial instrument from a compliance monitoring perspective?

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Anonymous
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Asked: December 21, 2022In: General

Regulations on closed-ended funds

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Should any new regulation be extended to closed-ended funds which have terminated their subscription period before the application date of the said regulation?

Should any new regulation be extended to closed-ended funds which have terminated their subscription period before the application date of the said regulation?

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Anonymous
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Asked: December 21, 2022In: ESG

Names rule proposal for ESG funds by ESMA

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Do you agree to include an additional threshold of at least 50% of minimum proportion of sustainable investments for the use of the word “sustainable” or any other sustainability-related term in the name of the fund?

Do you agree to include an additional threshold of at least 50% of minimum proportion of sustainable investments for the use of the word “sustainable” or any other sustainability-related term in the name of the fund?

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    Explained: Investment Compliance

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    UCITS: A Guide for Investors

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