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Optimum Asset Management Inc

PRI reporting framework 2017

You are in Strategy and Governance » Investment policy

Investment policy

SG 01. RI policy and coverage (Not Completed)


SG 02. Publicly available RI policy or guidance documents (Not Completed)


SG 03. Conflicts of interest

03.1. Indicate if your organisation has a policy on managing potential conflicts of interest in the investment process.

03.2. Describe your policy on managing potential conflicts of interest in the investment process.

Optimum Asset Management takes reasonable measures to detect all significant existing conflicts of interest or those that it reasonably expects to see occur between its employees and clients. With its internal policies and procedures, Optimum Asset Management ensures it is able to identify existing conflicts of interest and prevent those that may occur. 

Measures have been taken to avoid and to monitor conflicts that could cause prejudice to its clients or to the financial markets.

Optimum Asset Management undertakes to declare the existence of known conflicts where a reasonable investor would expect to be informed of conflicts that could compromise the integrity of the firm with respect of its clients or the financial markets. Optimum Asset Management will obtain the specific authorizations, as necessary, before making recommendations or carrying out transactions.

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Private)


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