As a compliance officer, what part of your job do you find most challenging?
complquery Latest Questions
Should any new regulation be extended to closed-ended funds which have terminated their subscription period before the application date of the said regulation?
What are the key skillset required for a compliance officer role?
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?
What the the biggest challenges you face related to Investment compliance monitoring? It can be system related, process related or people related.
Being new to the compliance world, the term Investment Compliance is a new term for me. How to differentiate between Investment Compliance and Compliance.
In your opinion and current financial environment, which one is better growth engine between organic and inorganic growth for an asset manager?