Compliance
Principles
Pursue strict compliance with and comprehensive oversight of industry standards, regulatory requirements and investment guideliens for all employees
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Compliance
Standards- Compliance team with the right mandates to pursue its objectives
- Establishment of internal standards across all functions
- Pre-approval process for investments and trades
- Universal checklist for regulation, contractual agreements, internal investment guidelines
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Monitoring
- Realtime monitoring invesment activities as per compliance standards
- Pre-approval system for order management and trade execution processes
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Reporting
- Review of daily compliance reports
- Monthly briefings directly to the CEO for compliance-related agendas
- Semi-annual audit reports
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Post Measures
- Notification of breaches and corrective measures to the stakeholders
- Follow-through measures to rectify breaches and written explanations by the stakeholders
- Records for performance evaluation
- Regular updates to internal guidelines in light of breaches if any.
Objectives
Raise awareness to achieve the highest standards of integrity and responsibility for all employees
Regular compliance training and firmwide updates
- Compliance as a key metric for performance evaluation
- Extensive use of Compliance monitoring tools and systems
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Realtime monitoring
Prevention of potential breaches- AITAS Order Management & Compliance System
- Overview of funds and their holdings
- Reflection of fund-specific guidelines and requirements
- AITAS Order Management & Compliance System
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Pre-trade Compliance
Pre-trade checks and approvals- AITAS & AITRADER Systems
- Trade simulations to assess funds impact
- Order management and pre-approvals
- Trade execution and realtime monitoring
- AITAS & AITRADER Systems
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Post-trade Measures
Post-trade checks for breaches- AITAS Order Management & Accounting System
- Post-trade overview of funds
