July

12. Continuous
Improvement
12. Continuous
Improvement
11. Reporting &
Performance
11. Reporting &
Performance
10. 10. Post-Trade Post-Trade
Monitoring Monitoring
12.1 Error Handling and Reporting
12.2 Breach Handling and Reporting
12.3 Investment Operational Risk and Control Assessment
12.4 Quality Assurance
12.5 Disciplinary Requirements
12.6 Complaints Handling
11.1 Performance Measurement
11.2 Pricing
11.3 Disclosures of Interest Reporting
11.4 Investment Committee Reporting
11.5 AMC / CIS Board Reporting
10.1 Post-trade Set-Up, Maintenance, and Monitoring
10.2 Investment Compliance - Monitoring and Assurance
9. 9. Execution, Execution,
Settlement Settlement & &
Reconciliation
Reconciliation
8. Pre-Trade
7. Decision
7. Decision Making
aking
8. Pre-Trade
9.1 Order Management & Execution
9.2 Commission Sharing Agreement
9.3 Settlement
9.4 Custody of Assets
Controls
Controls
8.1 Pre-trade Control Set-Up and Maintenance
8.2 Group-wide Investment Limits
8.3 First Line Credit Limit Allocation
8.4 Cross Trades
8.5 FATCA
8.6 Trading in AIA Securities
7.1 Investment Process
7.2 Tactical Asset Allocation Decisions
7.3 Derivative Advisory
7.4 Environmental, Social and Governance
7.5 Restricted Dealing, Wall-crossing and Deal Sounding
7.6 Market Misconduct
7.7 Proxy Voting
The Proposal