Which OMS do you prefer for investment compliance monitoring and why?
What benefits does investment compliance bring to the stakeholder(s)?
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?
Should any new regulation be extended to closed-ended funds which have terminated their subscription period before the application date of the said regulation?
Matt_smithContributor
In your opinion and current financial environment, which one is better growth engine between organic and inorganic growth for an asset manager?
As a compliance officer, what part of your job do you find most challenging?
prof.mattsmithBeginner
What is the most challenging financial instrument from a compliance monitoring perspective?
What’s the biggest fine any company has paid for breach of guidelines?
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 is a Wash Sale and what controls can investment compliance put in place to monitor Wash Sale?