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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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investment compliance
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Anonymous
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Anonymous
Asked: December 9, 2022In: General

Should I join the Investment Compliance division in an Investment Management firm?

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Should I join the Investment Compliance division in 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?

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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investment compliancejobmandate monitoringopportunity
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Anonymous
Asked: January 22, 2024In: Others

What is BQL in Aladdin Application by Blackrock

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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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aladdinblackrockbql
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Anonymous
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Anonymous
Asked: November 5, 2022In: ESG

Is Climate Bond Standard Board a regulatory body?

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Is Climate Bond Standard Board a regulatory body?

Is Climate Bond Standard Board a regulatory body?

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Anonymous
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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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esgsustainabilitytransition
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Anonymous
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Anonymous
Asked: December 21, 2022In: General

Wash Sale

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Wash Sale

What is a Wash Sale and what controls can investment compliance put in place to monitor Wash Sale?

What is a Wash Sale and what controls can investment compliance put in place to monitor Wash Sale?

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30 day periodbuysellwash sale
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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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Anonymous
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Anonymous
Asked: December 21, 2022In: ESG

Names rule proposal for ESG funds by ESMA

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Names rule proposal for ESG funds by ESMA

Do you agree with the need to introduce quantitative ESG thresholds to assess funds’ names?

Do you agree with the need to introduce quantitative ESG thresholds to assess funds’ names?

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esgesmaregulatorysustainability
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Anonymous
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Anonymous
Asked: December 21, 2022In: ESG

Names rule proposal for ESG funds by ESMA

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Names rule proposal for ESG funds by ESMA

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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esgesmanames rulesustainability
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Anonymous
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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