Jinwen Li, ACCA

QDLP & PFM fund operations

QDLP and PFM Investment operations: • Position and market value reconciliation • Brokers trade reconciliation • Cash instruction preparation • NAV check • Regulatory Reports to AMAC and SFO • Fees payment • New fund/ (new broker ) launch support (account opening, agreement review for OPS part, tri-party ops memo) • Oversight of services provider (fund administrator and fund custodian bank) • To provide support to internal teams including but not limited to fund managers, sales team, product team and dealer • To assist client’s transaction processing and inquiries • Keep updated on regulatory requirement and market trends • To perform and ensure all operating procedures and risk management policies are carried out

QDLP fund administration/operations services: -The main clients include overseas funds/asset management companies (WOFE) and domestic institutional investors; -The daily businesses include but not limited to: • Preparing investors' anti-money laundering and KYC analysis; • Drafting OM (operation memorandum) agreed with clients; • Reviewing and sending the fund valuation/NAV reports to clients and investors; • Preparing monthly, quarterly, annually and other required reports to clients and regulatory parties (SFO and AMAC); • Preparing and executing investor's subscription, redemption and FX transfer instructions; • Monitoring the fund account balances, cash transfer and quota usage; • Solving client related queries -CSRC Fund Custody China Project • Local valuation system (Hundsun) testing and system demo • Draft application documents (Information Disclosure part)