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Adrian Pay Head Office

42 Club Street
Singapore
SG

Telephone

+65 6220 4966

Contact

Adrian Pay
[email protected]

Employee Compliance

Cover your US and international employee Governance, Risk and Compliance obligations:
1. Personal trading
2. Gifts & Entertaining given
3. Gifts & Entertaining received
4. Code of ethics
5. Conflicts of interests
6. External appointments
7. Connected parties
8. Employee broker accounts

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US Code of Ethics

Ensure compliance with US rules 17j-1 and 204A-1, Initial, Quarterly and Annual reporting and certification of: -Code of ethics -Personal trading -Personal investments -Gifts & entertaining given -Gifts & entertaining received -External roles -Conflicts of interests -Other issues disclosure

Operational Risk

Cover your US and international Governance, Risk and Compliance obligations: 1. Report and resolve: a) Errors b) Issues/risks 2. Periodically review/update procedures/operational risks: value, frequency, probability 3. Committee, Terms of Reference 4. Business Unit, Service Level Agreements

Client Governance

Cover your US and international client Governance, Risk and Compliance obligations: 1. Contractual instructions/restrictions 2. Regulatory instructions/restrictions 3. Regulatory classification 4. Client complaints 5. Authorized signatories 6. Client contracts/documentation