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Social Network for Investment Compliance and Compliance advisory information. All these at your finger tip. Currently, this segment is very niche and finding accurate information is very tricky and mostly no one is around to answer your question.

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prof.mattsmithBeginner

Asked: February 17, 2023In: General

As a compliance officer, what part of your job do you find most challenging?

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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?

As a compliance officer, what part of your job do you find most challenging?

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prof.mattsmithBeginner

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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Anonymous

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?

investment compliance

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prof.mattsmithBeginner

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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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_WhoBeginner

Asked: October 27, 2022In: General

What’s the biggest fine any company has paid for breach of guidelines?

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What’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

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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Anonymous

Asked: December 11, 2023In: Regulatory

While calculating 5/10/40 UCITDS rule should we be excluding TD (term deposit)

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Explain 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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Poll

Anonymous

Asked: January 22, 2024In: Others

What is BQL in Aladdin Application by Blackrock

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Poll Results

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Participate in Poll, Choose Your Answer.

What is BQL in Aladdin Application by Blackrock. Is this language proprietory to Blackrock or an universal language used by BRS.

What is BQL in Aladdin Application by Blackrock. Is this language proprietory to Blackrock or an universal language used by BRS.

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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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