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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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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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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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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: October 13, 2022In: General

How Investment Compliance is different from other Compliance

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Being 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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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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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?