Compliance
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Compliance
- · Advisory Function : Provide advisory on legal and business rules for product development and asset management strategy at planning stage
- · Internal Control Function : Monitor and control asset management procedure to strictly comply with legal & policy requirements
Advisory Function
Product Development and
Asset Management Plan Review
Review on Legal and
Policy Conformity
Provide Compliance
Officer’s Opinion
Internal Control Function
Submission of
Investment Orders
Investment Order
Execution
Compliance
Review
Evaluation &
Correction