In your opinion, which regulatory framework is more investment friendly?
In your opinion, which regulatory framework is more investment friendly?
Read lessWhat benefits does investment compliance bring to the stakeholder(s)?
What benefits does investment compliance bring to the stakeholder(s)?
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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?
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As a compliance officer, what part of your job do you find most challenging?
As a compliance officer, what part of your job do you find most challenging?
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What are transferable securities as defined in UCITS?
What are transferable securities as defined in UCITS?
Read lessWhat’s the biggest fine any company has paid for breach of guidelines?
What’s the biggest fine any company has paid for breach of guidelines?
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Doctor_WhoBeginner
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.
Read lessShould 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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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 lessExplain if we can exclude TD (term deposit) while we create 5/10/40 rule in OMS ( order management system)
Explain if we can exclude TD (term deposit) while we create 5/10/40 rule in OMS ( order management system)
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