{"id":142,"date":"2014-07-01T23:57:41","date_gmt":"2014-07-01T14:57:41","guid":{"rendered":"http:\/\/eng.trustonasset.com\/?page_id=142"},"modified":"2017-04-10T19:46:36","modified_gmt":"2017-04-10T10:46:36","slug":"compliance","status":"publish","type":"page","link":"https:\/\/eng.trustonasset.com\/?page_id=142","title":{"rendered":"Compliance"},"content":{"rendered":"
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Compliance is a critical component of our investment management process<\/p>\n

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Pre-Trade Risk Management and Compliance Check<\/p>\n

All Management, Compliance, and trade orders are implemented through the Electronic system<\/p>\n

\u00a0 \u00a0 \u00a0– Portfolio managers execute all trade orders through the OMS trading system<\/p>\n

– Check the investment guidelines through the electronic system set up in advance<\/p>\n

Real-time Fund Monitoring: Remove the potential breach<\/p>\n

\u00a0 \u00a0 \u00a0– Compliance Team supervises whether the portfolio manager complies to the given regulations and investor’s guideline<\/p>\n

Brokerage house Allocation<\/p>\n

\u00a0 \u00a0 \u00a0– Trading team executes limitation of stock trade by using internal evaluation criteria and decides the allocation of trading orders to each broker<\/p>\n

– Monitor the appropriateness of execution and quality of execution<\/p>\n

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Post-Trade Risk Management and Compliance Check<\/p>\n

The Risk Management and Compliance Team performs post-trade risk management and compliance checks in the PMS trading system and KASS fund administration system on a daily basis<\/p>\n

Compliance Management<\/p>\n

\u00a0 \u00a0 \u00a0– The team monitors any warning sign for possible breaches to prevent the portfolios from exceeding risk limit<\/p>\n

– If a portfolio manager commits a breach, the daily compliance report is sent to the portfolio manager and a rationale statement with a resolution schedule is required to be submitted<\/p>\n

– If a portfolio manager is close to committing a breach, an alert is sent to the portfolio manager<\/p>\n

Reporting and Feedback<\/p>\n

\u00a0 \u00a0 \u00a0– Confirmation is needed once such a breach is corrected<\/p>\n

– Compliance is an important part of an individual portfolio manager’s annual performance evaluation<\/p>\n

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Compliance is a critical component of our investment management process Pre-Trade Risk Management and Compliance Check All Management, Compliance, and trade orders are implemented through the Electronic system \u00a0 \u00a0 \u00a0– Portfolio managers execute all trade orders through the OMS trading system – Check the investment guidelines through the electronic system set up in advance […]<\/p>\n","protected":false},"author":1,"featured_media":0,"parent":16,"menu_order":0,"comment_status":"open","ping_status":"open","template":"","meta":{"footnotes":""},"class_list":["post-142","page","type-page","status-publish","hentry"],"_links":{"self":[{"href":"https:\/\/eng.trustonasset.com\/index.php?rest_route=\/wp\/v2\/pages\/142","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/eng.trustonasset.com\/index.php?rest_route=\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/eng.trustonasset.com\/index.php?rest_route=\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/eng.trustonasset.com\/index.php?rest_route=\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/eng.trustonasset.com\/index.php?rest_route=%2Fwp%2Fv2%2Fcomments&post=142"}],"version-history":[{"count":18,"href":"https:\/\/eng.trustonasset.com\/index.php?rest_route=\/wp\/v2\/pages\/142\/revisions"}],"predecessor-version":[{"id":670,"href":"https:\/\/eng.trustonasset.com\/index.php?rest_route=\/wp\/v2\/pages\/142\/revisions\/670"}],"up":[{"embeddable":true,"href":"https:\/\/eng.trustonasset.com\/index.php?rest_route=\/wp\/v2\/pages\/16"}],"wp:attachment":[{"href":"https:\/\/eng.trustonasset.com\/index.php?rest_route=%2Fwp%2Fv2%2Fmedia&parent=142"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}