The Compliance team is responsible for the maintenance, validation and monitoring of investment policies, including screening criterias, on a pre- and post-trade basis for all portfolios. Each control parameter of an investment policy is entered into the compliance system that makes it possible to follow up on and update all relevant information. The compliance of portfolio guidelines, including the management of any exception or special features is monitored daily.
A daily post-trade review/analysis is performed by the Analyst, Compliance with a follow-up by the Manager, Compliance of any deviations that may have occurred. Should a deviation occur, the investment team will be notified immediately as to this occurrence and the most appropriate method to rectify the situation will be implemented. The Chief Compliance Officer & Chief Risk Officer will also be kept abreast of any deviations.