Kgori Capital is a reputable investment management firm in Botswana with a diverse client base and a diverse product offering firm $($including equity, fixed income, and alternative investments$).$

Internal Control Assessment

a$.$ Review the internal controls and processes related to portfolio management, including trade execution, order management, and trade settlement.

b$.$ Assess the effectiveness of risk management controls to ensure compliance with investment guidelines and regulatory requirements.

c$.$ Identify any gaps or weaknesses in the current control environment.

Compliance and Regulatory Compliance

a$.$ Evaluate the firm's compliance procedures and policies, including monitoring and reporting of regulatory violations.

b$.$ Assess the firm's adherence to industry regulations and standards, such as those set by the SEC or relevant financial regulatory bodies.

Determine if the firm has a process in place to keep abreast of changing regulations and incorporate them into its operations.

Data Security and Privacy

a$.$ Review data security protocols and measures in place to protect sensitive client information and portfolio data.

b$.$ Assess the firm's compliance with data privacy regulations $($e$.$g$.,$ GDPR or CCPA$)$ and its approach to data governance.

c$.$ Identify any potential risks or vulnerabilities related to data security.

Recommendations for Improvement

a$.$ Based on your assessment, provide recommendations for enhancing internal controls and operating systems at the Investment Management Firm.

b$.$ Prioritize the recommendations and explain their potential impact on risk management and operational efficiency.

c$.$ Consider the cost$-$effectiveness of implementing the suggested improvements.

Reporting and Communication

a$.$ Summarize your findings in a clear and concise report.

b$.$ Create a presentation that highlights key areas of concern and outlines recommended actions for senior management at your identified institution.