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Risk and Compliance

Risk Targeting

Effective Risk Management
Although the entire organisation is involved in risk management, the oversight of risk and control functions is managed independently from the business. The management of risk is an integral part of Santander Asset Management’s activities and underpins all business areas.

Control of Risk
We never take unnecessary risks with clients’ money. The investment teams monitor, measure and manage portfolio risk, and Santander Asset Management UK’s independent Risk and Compliance department monitor all of our portfolios daily.

A Three-Tier Approach
It is impossible to eliminate all risk in life, and the same is true of investments. However, our three-tier approach to risk management helps to mitigate avoidable risks and control investment risks through careful management and oversight:

  1. Pre and post-trade controls for day-to-day investment activity
  2. Backed by independent oversight from the Risk and Compliance department
  3. A strong focus on Internal Audit

Policies
Below are policies in relation to control at Santander Asset Management UK. 

Remuneration Policy (PDF 274 KB)
Conflicts Of Interest Policy (PDF 380 KB)
Pillar 3 Disclosure (PDF 394 KB)
Best Execution Policy Document (PDF 139 KB)
RTS28 (PDF 132 KB)
Slavery & Human Trafficking Statement (PDF 136 KB)

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