Regulatory exams for Category I and II Financial Services Providers (FSP) […]
Ensure the asset managers and CIS Managers investment activities comply with client mandates, regulatory requirements (including CISCA), and internal policies through proactive monitoring, reporting, and advisory, supporting the organization's commitment to regulatory excellence and risk management
Take full ownership of post-trade compliance monitoring and conduct ongoing reviews of processes for the asset manager and CIS Manager […]
Monitor compliance with CISCA in accordance with the annual plan and submit required...