Tag: compliance
Concepts
- Alternative Data Diligence and Consent
- Audit Trail Requirements for Research
- Change Control for Live Strategies
- Communications Surveillance and Recordkeeping
- Compliance and Record-Keeping for LLM Use
- Compliance Sign-Off for a New Strategy
- What Makes Information Material and Non-Public
- Exchange Market Data Licensing and Audits
- Controls on Expert Network Usage
- Gifts, Entertainment and Anti-Bribery Rules
- GIPS Composite Construction
- GIPS Performance Presentation Standards
- GIPS Performance Standards
- Information Barriers and Chinese Walls
- Information Barriers and Wall-Crossing
- MiCA and Global Crypto Regulatory Regimes
- MNPI and Data Licensing Risk
- MNPI Controls in Research
- Model Inventory and Risk Tiering
- The 2003 Mutual Fund Late Trading Scandal
- Non-Competes, Garden Leave and Moving Firms
- Blotter Hygiene: Keeping The Order Record Clean
- Personal Account Dealing Policies
- Personal Account Dealing Policy
- PII and Anonymisation Checks Before Onboarding
- PEPs and Enhanced Due Diligence
- Research Archive and Retention Policy
- Sanctions Screening and OFAC Compliance
- SFTR and Securities Financing Reporting
- Three Lines of Defence in a Quant Firm
- Trade Surveillance Systems and Alert Tuning
- The Travel Rule, Sanctions Screening and AML
- Vendor Licence and Data Usage Rights
- Wall Crossing and Restricted Lists
- What Counts as Market Abuse