What is the most challenging financial instrument from a compliance monitoring perspective?
As a compliance officer, what part of your job do you find most challenging?
What’s the biggest fine any company has paid for breach of guidelines?
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What the the biggest challenges you face related to Investment compliance monitoring? It can be system related, process related or people related.
What benefits does investment compliance bring to the stakeholder(s)?
Should any new regulation be extended to closed-ended funds which have terminated their subscription period before the application date of the said regulation?
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?
What is a Wash Sale and what controls can investment compliance put in place to monitor Wash Sale?
What are the key skillset required for a compliance officer role?
Which OMS do you prefer for investment compliance monitoring and why?