Broker Selection Policy

Talis Asset Management has established a broker ranking for informative purposes. The criteria will make asset trading more transparent, standardized, and beneficial for investment unit holders.

Broker Criteria

There are 2 criteria to assess brokers:

  1. Pass/Fail Criteria
    1. 1.1 Financial Status
    2. 1.2 Operation Quality
    3. 1.3 Environmental, Social, and Governance (ESG) issues
  2. Scoring Criteria
    1. 2.1 Analysis Skills
    2. 2.2 Marketing Agent Skills
    3. 2.3 Seminar Planning or Management Meeting
    4. 2.4 Other Services
    5. 2.5 Asset Trading Skills
    6. 2.6 Commission Fee

Criteria Details

  1. Pass / Fail Criteria
    1. 1.2 Financial Status
      • Shareholder
      • Net Capital Rule (NCR)
    2. 1.2 Operation Quality
      • Settlement coordination of the back office
    3. 1.3 Environmental, Social, and Governance (ESG) issues
      • Director, Management, and Company are not involved in issues pertaining to ESG
  2. Scoring Criteria
    1. 2.1 Analysis Skills
      • Quality and accuracy of analysis reports
      • Up-to-date reports
      • Consistency and frequency of issuing reports
      • Model/Update Model presentation
      • Confidentiality
    2. 2.2 Marketing Agent Skills
      • Quality of conference calls
      • Consistency and frequency conference calls
      • Timely updates and reports
      • Fact check
      • Insights about investment conditions
      • Confidentiality
    3. 2.3 Seminar Planning or Management Meeting
      • Quality of the seminar
      • Hold regular meetings with company to present investment findings
      • The difficulty in setting up meetings
      • Confidentiality
    4. 2.4 Other Services
      • IPO and PP recommendations
      • New financial product recommendations
      • Other services as assigned
    5. 2.5 Asset Trading Skills
      • Summarize trading price
      • Present findings and monitor the market
      • Confirm trade orders
      • Confidentiality
    6. 2.6 Commission Fee
      • Score is based on the commission fee