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Adrian Pay Head Office

42 Club Street
Singapore
SG

Telephone

+65 6220 4966

Contact

Adrian Pay
[email protected]

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

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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

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