King Irving’s investment manager due diligence process includes the requirement of a proven and structured investment process implemented by a highly experienced investment team. We only appoint managers with a strong risk management culture.
Fund portfolios are invested in accordance with the investment guidelines, performance objectives and risk management rules agreed with the investment manager and King Irving as set out in the Investment Management Agreement.
King Irving’s compliance processes include the ongoing review of the investment manager and the Fund portfolio to ensure that these guidelines, objectives and rules are met.
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 practice 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
The Board is responsible for the oversight of 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 40 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.