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