Current location - Trademark Inquiry Complete Network - Tian Tian Fund - Internal control system of fund managers
Internal control system of fund managers
Answer: d

The main contents of fund trading business control: fund trading should implement centralized trading system, and fund managers should not directly issue investment instructions to traders or directly conduct transactions. The company shall establish a transaction monitoring system, an early warning system and a transaction feedback system, and improve relevant safety facilities. Investment instructions should be audited before implementation to confirm their legality, compliance and integrity. In case of illegal instructions or other abnormal situations, it should be reported to the corresponding departments and personnel in time. The company should implement a fair transaction distribution system to ensure that the interests of different investors are treated fairly. Establish a sound transaction record system, and the daily portfolio list should be checked and filed in time.