Investment and Research Function

Firman Bachter

A graduate of Bandung Institute of Technology, began his career as an Investment Function Executive/Research Analyst & Investment Manager at PT Momentum Synergy Asset Management (2006; PT Eurocapital Peregrini Securities (2007; PT Phillip Securities Indonesia (2011; PT CIMB Principal Asset Management (2011; and PT Anugerah Sentra Investama (2014). Currently, he serves as the Coordinator of the Investment and Research Function at PT Shinoken Asset Management Indonesia and has obtained an Investment Manager Representative license from the Financial Services Authority based on the Decision of the Financial Services Authority Commissioner No. KEP-113/PM/WMI/2005 dated December 07th, 2005.

Joko Wicaksono S.

A graduate of MH. Thamrin University, Jakarta, started his career as an Investment Executive at PT Anugerah Sentra Investama (2015) and was later appointed as the Coordinator of the Investment and Research Function at PT Anugerah Sentra Investama (2019). Currently, he serves as an Investment and Research Function Executive at PT Shinoken Asset Management Indonesia and has obtained an Investment Manager Representative license from the Financial Services Authority based on the Decision of the Financial Services Authority Commissioner No. KEP-175/PM.211/WMI/2018 dated September 05th, 2018 and a Broker-Dealer Representative license from the Financial Services Authority based on the Decision of the Financial Services Authority Commissioner No. KEP-552/PM.212/ WPPE/2015 dated December 11th, 2015.

Roles and Responsibilities:

  1. Making the best investment decisions for the benefit of clients;
  2. Creating and maintaining records and working papers for investment decision-making on behalf of clients;
  3. Periodically analyzing the performance of investment products;
  4. Ensuring the alignment of investment decisions with the policies and investment strategies set forth in the securities portfolio management agreements for clients or collective investment portfolio for a group of clients, as well as the investment policies and strategies defined by the Investment Committee;
  5. Ensuring that every investment decision is made based on rational consideration and supported by adequate research findings;
  6. Applying the principles of prudence and Risk Management, including taking into account potential investment risks and the actions to be taken if such risks
    materialize, and establishing clear authority divisions in determining the transaction amount.

Trading Function

Danny Patria

A graduate of Central Queensland University, Australia. Began his career as a Sales Executive at PT GT Investama Securities (2002; PT Kuo Capital Raharja (2004; PT Anugerah Sentra Investama (2015; and PT Purwanto Asset Management (2020). Currently, he serves as Coordinator of the Trading Function at PT Shinoken Asset Management Indonesia and has obtained an Investment Manager Representative License from the Financial Services Authority based on the Decision of the Financial Service Authority commissioner No. KEP-10/PM/WMI/2006 dated January 12th, 2006.

Roles and Responsibilities:

  1. Executing transactions for Securities as determined by the investment function at the best price and time for the benefit of clients; and
  2. Coordinating with the Coordinator of the Investment and Research Function in selecting Securities Broker-Dealers, considering factors including fees charged
    and services provided by the Securities Broker-Dealers.

Securities Transaction Settlement Function

Serina Lee Jovanka

A graduate of the Polytechnic of Business and Capital Markets in Jakarta, started her career as an Equity Dealer at PT Trust Securities (2021; PT. Korea Investment Securities (2022; and PT. Lembur Sadaya Investama (2022). Currently, she serves as the Coordinator of Settlement at PT Shinoken Asset Management Indonesia and has obtained a Securities Broker-Dealer Representative license from the Financial Services Authority based on the Decision of the Financial Services Authority Commissioner No. KEP-542/PM.212/WPPE/2021 dated July 24th, 2021.

Roles and Responsibilities:

  1. Reconciling transaction data with relevant parties such as Securities Broker-Dealers and Custodian Banks; and
  2. Cross-checking data in the administration of Securities within the portfolio of Mutual Funds or products managed by the Investment Manager.
  3. Maintenace Time Deposit Money Market Fund (Placement,Widrawal,and Rollover) in System based on order slips.
  4. Input perform daily transaction (Subcription and Redemption)  into the System based on order slips.

Risk Management, Compliance, and (APU, PPT & PPPSPM) Function

Suspasari Kuswidiani

A graduate of Diponegoro University, Semarang, began her career as an Equity Dealer at PT Trust Securities (2001; PT Valbury Asia Securities (2005; and PT Bowsprit Asset Management (2014). Currently, she serves as the Coordinator of Risk Management & Compliance, and Person In Charge of APU, PPT & PPSPM Function at PT Shinoken Asset Management Indonesia and has obtained an Investment Manager Representative license from the Financial Services Authority based on the Decision of the Financial Services Authority Commissioner No. KEP-84/PM/WMI/2013 dated July 30th, 2013 and a Broker-Dealer Representative license from the Financial Services Authority based on the Decision of the Financial Services Authority Commissioner No. KEP-153/PM/IP/WPPE/2001 dated March 12th, 2001.

Roles and Responsibilities (Risk Management):

  1. Developing Risk Management strategies;
  2. Updating Risk Management strategies in the event of changes in Investment Manager activities or new related regulations;
  3. Periodically monitoring and reviewing the implementation of Risk Management strategies;
  4. Monitoring overall risk positions by risk type;
  5. Effectively implementing Risk Management tailored to the size and complexity of the business and the capabilities of the Investment Manager.

Roles and Responsibilities (Compliance):

  1. Ensuring compliance of the Investment Manager with legal regulations;
  2. Acting as a liaison with the Financial Services Authority;
  3. Developing Compliance strategies;
  4. Updating Compliance strategies in the event of changes in Investment Manager activities or new related regulations;
  5. Disseminating and socializing compliance manuals, policies, procedures, and related information to relevant parties within the Investment Manager‘s environment;
  6. Supervising and ensuring the implementation of business continuity plans in accordance with company policy;
  7. Ensuring employees receive training and education related to compliance;
  8. Preparing and delivering annual work plans for the compliance function to the Board of Commissioners;
  9. Preparing and delivering semi-annual and annual reports on compliance function implementation to the Board of Commissioners;
  10. Reporting any incidental findings to the Board of Commissioners in the event of suspected violations of legal regulations in the Capital Market sector by the Investment Manager and/or its clients, no later than 2 (two) working days from the discovery of the suspected violation.

Roles and Responsibilities APU, PPT & PPPSPM:

  1. Periodically analyze APU, PPT and PPPSPM risk assessments related to customers, countries or geographic areas, products, services, transactions or distribution networks (delivery channels; 1 (one) time in 1 (one) year
  2. Develop, update, and propose policies and procedures for implementing APU, PPT and PPPSPM programs that have been prepared to manage and mitigate risks based on risk assessments by requesting consideration from the Board of Directors
  3. Ensure that there is a system that can identify, analyze, monitor and provide reports effectively regarding the profile, characteristics or habitual transaction patterns carried out by customers
  4. Ensure that the policies and procedures prepared are in accordance with changes and developments covering products, services and technology in the financial services sector, activities, business scale, business complexity, business characteristics, PJK transaction volume, and/or TPPU, TPPT and/or modes PPPSPM
  5. Ensure that forms relating to customers accommodate the data required to implement the APU, PPT and PPPSPM programs
  6. Monitor customer accounts and the implementation of customer transactions
  7. Evaluate the results of monitoring and analyzing customer transactions to ensure whether or not there are suspicious financial transactions, cash financial transactions and/or financial transactions transferring funds from/and abroad
  8. Administer monitoring and evaluation results
  9. Ensure updating of customer data and profiles as well as customer transaction data and profiles

Internal Audit Function

Roles and Responsibilities:

  1. Creating plans, controls, and records for all internal audit activities;
  2. Documenting all findings, conclusions, and recommendations from the execution of internal audit activities;
  3. Compiling internal audit reports after each internal audit for submission to the Board of Commissioners.

Marketing and Customer Complaint Handling Function

Roles and Responsibilities:
The marketing function coordinator is responsible for coordinating:

  1. The process of opening investment portfolio accounts for Mutual Funds, collective investment portfolio other than Mutual Funds, and customer investment management services while adhering to the policies and procedures established in the implementation of the Customer Identification Principle.
  2. Marketing investment products accurately and professionally by applying provisions regarding customer risk profiles and other related regulations.

The customer complaint handling function coordinator is responsible for coordinating:

  1. Receiving and administrating customer complaints.
  2. Handling and following up on customer complaints.
  3. Administrating the results of handling and following up on customer complaints.

Information Technology Function

Thalita Christy Adwinda

A graduate of Darma Persada University, began her career at PT SYS Indonesia (2013) and PT System Co LTD as a System Engineer Junior (2015; before joining Ogawa Construction Ltd (2017). She currently serves as the HRD & IT Coordinator at PT Shinoken Asset Management Indonesia.

Roles and Responsibilities:
The Information Technology function coordinator is responsible for:

  1. Conducting periodic reviews and maintenance of information technology systems to ensure that:
    1. Information technology systems can support the operational activities of the Investment Manager to function smoothly; and
    2. The information technology systems used are in accordance with the requirements for electronic reporting to the Financial Services Authority so that reporting activities can be carried out in accordance with regulations; and
  2. Performing periodic data backup.

Accounting and Finance Function

Nurul Andriani

A graduate of STEKPI School of Business & Management Jakarta in 2012, began her career as an Auditor at KAP Kanaka Puradiredja, Suhartono (2012; then worked as an Accounting Staff at PT Arthindokarya Sejahtera (2016) and PT Enfys Kreatif (2018). She currently serves as the Coordinator of Accounting & Finance at PT Shinoken Asset Management Indonesia.

Roles and Responsibilities:

  1. Planning and managing accounting and finance activities; and
  2. Ensuring that annual financial reports, mid-year financial reports, monthly Investment Manager activity reports, Adjusted Net Working Capital reports, and other reports submitted to the Financial Services Authority are prepared based on accurate data and in accordance with the regulations of the Financial Services Authority and Financial Accounting Standards.

Human Resources Development Function

Duties and Responsibilities:

  1. Developing and implementing training programs to enhance employees‘ technical skills and compliance with the code of ethics and employee conduct standards.
  2. Conducting screening procedures for the recruitment of new employees in accordance with standard operating procedures and applicable regulations.
  3. Maintaining records and documents related to human resources development, including but not limited to training documents and personnel administration.