Compliance
Business System Compliance
Probability of occurrence and expectation of violation in compliance
- Compliance
-
Operation Team
Check for violation
communcation / Request for resolution
- Limit monitoring
- Resolve violation
- Countercheck
- Pre-check for breach of company regulations
- Come up with solutions
- Investment decisions and executions
- Advance Controls
- Compliance Monitoring
- Vigilance
- Reporting and actions
- Educate employees to put clients’ benefits as the priority
- Check whether internal code of ethics, and internal control standards matches company's investment philosophy
- Before the initial set-up of the fund, check the articles of association (articles of incorporation), investment manuals, advertising materials for marketing
- Check for compliance with fund investment strategies
- Executives receive reports when errors and problems existed
- Take immediate action to tackle the issues and prevent recurrence through making problem analysis