King Irving Funds Management holds an Australian Financial Services Licence (AFSL number 461981) that authorises it to operate a financial services business.

Our Compliance Plan and Framework (the System) has been prepared to industry best standards and underscores the strong commitment of the Board and Senior Management of King Irving to a compliance and risk culture.

Compliance Plan and Framework Layout

compliance-process

The Board is responsible for the oversight of the management of the business and for ensuring high standards of corporate governance in compliance with our corporate governance policies.

These policies include those relating to:

  • Regulatory compliance and disclosure, and
  • Standards of corporate behaviour, taking into account Environmental, Social and Governance factors.

The Chairman of the Board is independent and has over 30 years’ experience in the Financial Services industry in Australia and overseas. His experience has largely been gained at senior levels in the areas of Compliance, Fund Operations and Procedures as well as in Fund and Company start-ups.