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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I have no prior working experience. However, I have an opportunity with a top Investment Management firm in their Investment Compliance Division. Should I join? How lucrative is the Investment compliance division of an Investment Management firm?
I have no prior working experience. However, I have an opportunity with a top Investment Management firm in their Investment Compliance Division. Should I join? How lucrative is the Investment compliance division of an Investment Management firm?
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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’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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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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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 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.
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