Policy & Manual Management
On Track81/100Policy library, review cycles and attestations
Policies & Manuals
6
Review Overdue
1
In Review / Draft
1
Staff Attestations
94%
353 of 376 collected
| Policy | Ver. | Status | Next Review | Attested | Owner |
|---|---|---|---|---|---|
| Personal Account Dealing Policy | 2.0 | Review Overdue | 9 Jul 2026 · 55d overdue | 66 | Rachel Ho |
| Electronic Communications & Systems Policy | 1.3 | Under Review | 17 Sept 2026 · in 15d | 74 | Dennis Ng |
| Liquidity Risk Management Policy (Fund) | 1.1 | Current | 14 Feb 2027 · in 165d | 22 | Dennis Ng |
| Compliance Manual | 4.2 | Current | 15 Apr 2027 · in 225d | 80 | Rachel Ho |
| AML/CFT Policy & CDD Procedures | 3.1 | Current | 30 May 2027 · in 270d | 77 | Rachel Ho |
| Best Execution Policy | 2.4 | Current | 4 Jul 2027 · in 305d | 34 | Rachel Ho |
6 of 6 policies & manuals · click a row to view or edit