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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.
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?
Read lessWhich OMS do you prefer for investment compliance monitoring and why?
Which OMS do you prefer for investment compliance monitoring and why?
Read lessWhat is the most challenging financial instrument from a compliance monitoring perspective?
What is the most challenging financial instrument from a compliance monitoring perspective?
Read lessBeing new to the compliance world, the term Investment Compliance is a new term for me. How to differentiate between Investment Compliance and Compliance.
Being new to the compliance world, the term Investment Compliance is a new term for me. How to differentiate between Investment Compliance and Compliance.
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?
Read lessWhat 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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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?
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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? 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?
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 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?
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