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Table Of Contents

1 GOVERNANCE
1.1 Relevance
1.2 Constitutional Documents
1.2.1 Content
1.2.2 Requirements
1.3 Board of Directors
1.3.1 Content
1.3.2 Requirements
2 RISK
2.1 Reporting
2.1.1 Content
2.1.2 Requirements
2.2 Portfolio Risk
2.2.1 Content
2.2.2 Requirements
2.3 Operational Risk
2.3.1 Content
2.3.2 Requirements
2.4 Counterparty Risk
2.4.1 Content
2.4.2 Requirements
2.5 Liquidity risk
2.5.1 Content
2.5.2 Requirements
3 INVESTMENTS
3.1 Performance
3.1.1 Content
3.1.2 Requirements
3.2 Terms
3.2.1 Content
3.2.2 Requirements
3.2.2.1 Economics
3.2.2.2 Control of Assets
3.2.2.3 Transparency
4 CAPITAL
4.1 Firm Ownership
4.1.1 Content
4.1.2 Requirements
4.2 Fund Investors
4.2.1 Content
4.2.2 Requirements
4.3 Investor Relations
4.3.1 Content
4.3.2 Requirements
4.4 Sales and Marketing
4.4.1 Content
4.4.2 Requirements
5 OPERATIONS
5.1 Organisation and Control Environment
5.1.1 Content
5.1.2 Requirements
5.1.2.1 Corporate Structure
5.1.2.2 Oversight and Reporting Lines
5.1.2.3 Separation of Duties
5.1.2.4 Staff
5.1.2.5 Retention and Turnover
5.1.2.6 Service Providers
5.1.2.7 Influence and Authority
5.1.2.8 Documentation
5.1.2.9 Conflicts
5.1.2.10 Disclosure
5.2 Compliance
5.2.1 Content
5.2.2 Requirements
5.2.2.1 Legal and Regulatory Issues
5.2.2.2 Regulatory Registrations
5.2.2.3 Resources
5.2.2.4 Compliance Manual
5.2.2.5 Policies
5.2.2.6 Training
5.2.2.7 Monitoring
5.3 Trade Processes
5.3.1 Content
5.3.2 Requirements
5.3.2.1 Systems
5.3.2.2 Trade Cycle
5.3.2.3 Reconciliation
5.3.2.4 Cash Controls/Management
5.3.2.5 Controls Testing
5.3.2.6 External Service Providers
5.4 Valuation
5.4.1 Content
5.4.2 Requirements
5.4.2.1 Independence
5.4.2.2 Oversight
5.4.2.3 Valuation Policy Document
5.4.2.4 Side Pockets
5.4.2.5 Administrator
5.5 Business Continuity/Disaster Recovery
5.5.1 Content
5.5.2 Requirements
5.5.2.1 Accountability
5.5.2.2 Planning
5.5.2.3 Replication and Backup
5.5.2.4 Disaster Recovery Space
5.5.2.5 Testing
Appendix Working Group Members
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Aima Isc Guide to Institutional Investors Views and Preferences Regarding Hedge Fund Operational Infrastructures May 2011 58561

Aima Isc Guide to Institutional Investors Views and Preferences Regarding Hedge Fund Operational Infrastructures May 2011 58561

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Published by: rtibbits1234 on Jul 19, 2011
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12/31/2011

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