Investment Fund Market Conduct Examination Questionnaire Form
Please complete this assessment to provide information on your fund’s market conduct practices, oversight, disclosures, trading behavior, and incident handling. Your responses will support our compliance review.
Fund Name
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Which best describes your fund’s current market conduct oversight structure?
*
Dedicated compliance team
Shared compliance function
Fund manager oversight
Other
Please indicate which controls are in place to prevent market misconduct. (Select all that apply)
*
Pre-trade approval processes
Trade surveillance systems
Employee training on conduct
Regular compliance audits
Other
How would you rate the effectiveness of your fund’s market conduct controls?
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1
2
3
4
5
Does your fund provide clear and timely disclosures to investors regarding trading activity and potential conflicts of interest?
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Yes, always
Partially/occasionally
No
Please provide details of any incidents of potential market misconduct in the past 12 months, including actions taken.
How does your fund handle complaints related to market conduct?
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Formal complaints procedure with tracking
Ad hoc resolution by management
No formal process
Please indicate the level of oversight for the following market conduct areas.
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Rows
No oversight
Periodic review
Ongoing monitoring
Insider trading prevention
1
2
3
Trade allocation fairness
4
5
6
Disclosure of conflicts
7
8
9
Complaints management
10
11
12
Has your fund implemented any remediation actions in response to market conduct issues in the past year?
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Yes
No
Please provide any additional comments or context regarding your fund’s approach to market conduct compliance.
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