As a fresh-out-of school, I got this job position dealing with the compliance and legal issues in a newly set-up investment firm. In my opinion, this compliance should have something to do with the ethical and professional conduct, like the CFA Code of Ethics describes. Is any one here doing this specific field? Could you be kind enough to let me contact you for some more information? Thanks a lot!
TorontoTim is our resident compliance expert there may be others…
I work in compliance at a large asset management company offshore… worked in Toronto before that in Compliance as well. Drop me an email if you like… djcookieman@gmail.com
Hmmmm… I’m quite sure I can’t live up to the “expert” label but I’m happy to help. E-mail me at: torontotim at rogers dot com