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?
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?
Being new to the compliance world, the term Investment Compliance is a new term for me. How to differentiate between Investment Compliance and Compliance.
Matt_smithContributor
In your opinion and current financial environment, which one is better growth engine between organic and inorganic growth for an asset manager?