Which OMS do you prefer for investment compliance monitoring and why?
complquery Latest Questions
What are the key skillset required for a compliance officer role?
What is a Wash Sale and what controls can investment compliance put in place to monitor Wash Sale?
What’s the biggest fine any company has paid for breach of guidelines?
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?
Being new to the compliance world, the term Investment Compliance is a new term for me. How to differentiate between Investment Compliance and Compliance.
As a compliance officer, what part of your job do you find most challenging?
Doctor_WhoBeginner
What the the biggest challenges you face related to Investment compliance monitoring? It can be system related, process related or people related.
prof.mattsmithBeginner
What is the most challenging financial instrument from a compliance monitoring perspective?