Monitoring Approach Plan - 2

XYZ Investment Management - Compliance Monitoring Plan - 2000

Rule

ITEM

Jan

Feb

Mar

II 1.1

Advertising

II 1.6

Inducements

II 1.7

Soft Commissions

II 2.1

Customer Status

II 2.3-5

Customer Agreements

RSRs

Authorised Trusts - SIB Regs

UCITS

Recognised Trusts - UCITS

II 3.1

Suitability

II 3.3

Material Interests

II 3.7

Timely Execution