MONITORING PROCESS

CORPORATE SOLUTIONS

MonitoringStrip

MONITORING PROCESS

The monitoring process will be executed at fund, manager and individual levels and will assume the following steps:

  • A non-compliance report is generated in the even of non-compliance. The report also outlines the nature of the infringement as well as recommended corrective action. The report is sent to the relevant subcommittee of the board.
  • On receipt of the report, the subcommittee then sends the recommendations to the relevant parties for implementation. At a fund and manager level, an instruction is issued to the managers for implementation. At individual level, the individual is informed directly, for rectification.
  • If rectification deadline is reached without the requisite corrective action, the consultants are then given a written mandate to supervise the trading of the non-compliant position directly.

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