Risk & Compliance

Quadrant fosters the ingenuity of a pioneering team while adhering to rigorous global standards regarding risk management and compliance.

Risk Management Process

Benefitting from strong domestic and foreign shareholder backgrounds, we combine a vast knowledge of China’s unique markets with an adherence to global risk management principles.

Measure

Buy or sell signals are subject to a meticulous process that, continuously and in real-time, measures and seeks to control the levels of risk-taking within the context of the portfolio.

Reassess

On an individual instrument level, our systems reassess price forecasts continually based on new data and price actions.

Position

From a portfolio standpoint, each instrument is subject to predetermined position budget, price constraints, and other factors that we adhere to systematically.

Oversee

Thorough oversight is applied from an execution standpoint to ensure the Program is operating as intended.

Compliance Procedures

We believe that each department within our firm must adhere to strict compliance policies so that our firm is seen as a generational leader in corporate citizenship.

Our compliance department oversees all potential sources of risk for our firm including portfolio risk, marketing communications, and accounting.

The chief compliance officer reports directly to the Chairman and the General Manager’s Office to maintain complete independence and objectivity.

We have decades of combined experience and maintain close communication with regulators to keep abreast of the latest global compliance standards.