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?
Read lessDo 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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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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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?
Read lessWhat are the key skillset required for a compliance officer role?
What are the key skillset required for a compliance officer role?
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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