Pursue strict compliance with and comprehensive oversight of industry standards, regulatory requirements and investment guideliens for all employees
Compliance
Standards
Monitoring
Reporting
Post Measures
Raise awareness to achieve the highest standards of integrity and responsibility for all employees
Regular compliance training and firmwide updates
Realtime monitoring
Prevention of potential breaches
- Overview of funds and their holdings
- Reflection of fund-specific guidelines and requirements
Pre-trade Compliance
Pre-trade checks and approvals
- Trade simulations to assess funds impact
- Order management and pre-approvals
- Trade execution and realtime monitoring
Post-trade Measures
Post-trade checks for breaches