To ensure the Business Division comply with relevant laws, rules, regulations and guidelines on the fund management industry by conducting Compliance Reviews;
Conduct assigned Compliance Reviews in accordance with the Annual Work Plan;
Perform review on Investment and Operations areas such as reviewing the daily Net Asset Value of unit trust funds, asset allocation and investment restrictions, checking and clearing breaches in Violation Manager, sending e-mail to fund managers to notify on the breaches and subsequently, incorporated in monthly Compliance Report to the Board of Directors report....
To ensure the Business Division comply with relevant laws, rules, regulations and guidelines on the fund management industry by conducting Compliance Reviews;
Conduct assigned Compliance Reviews in accordance with the Annual Work Plan;
Perform review on Investment and Operations areas such as reviewing the daily Net Asset Value of unit trust funds, asset allocation and investment restrictions, checking and clearing breaches in Violation Manager, sending e-mail to fund managers to notify on the breaches and subsequently, incorporated in monthly Compliance Report to the Board of Directors report....