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犬来八荒 · 2023年07月14日

同一个管理人下的不同fund不是应该独立运作托管吗

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NO.PZ202110280100000107

问题如下:

Which of SWM’s trading policies identified by the client are consistent with good trade governance?

选项:

A.Only Policy 1 B.Only Policy 2 C.Both Policy 1 and Policy 2

解释:

Both of SWM’s trading policies are consistent with good governance. Asset managers should have a list of approved brokers and execution venues for trading and the criteria used to create this list. Creating and maintaining the list should be a collaborative effort shared by portfolio execution, compliance, and risk management. A best practices approach is to create a Best Execution Monitoring Committee within an investment management firm that is responsible for maintaining and updating the list regularly, or as circumstances require, and for distributing the list to all parties involved in trade execution. Furthermore, if several accounts follow the same or a similar investment strategy and have similar trading needs, then pooling the trades for trade execution may make sense in some situations. If a pooled trade is not fully executed, the order amount that is executed generally needs to be allocated to accounts on a pro-rata basis so that no account is disadvantaged relative to the others.

实务中不同的产品/投组是要单独运作的,不能pool the funds做资金池业务。

这里为什么可以?

1 个答案
已采纳答案

笛子_品职助教 · 2023年07月15日

嗨,从没放弃的小努力你好:


实务中不同的产品/投组是要单独运作的,不能pool the funds做资金池业务。

这里为什么可以?


国内实务中,不同产品是需单独运作的,不能pool the fund。

但是在美国,也是可以允许,不独立运作的。例如有一种多策略基金,它是可以pool the fund的。

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虽然现在很辛苦,但努力过的感觉真的很好,加油!

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