Yuki is not a market timer. Investment decisions are made by portfolio managers based on intelligence gathered through detailed bottom-up research. However, market sentiment around a particular stock, its price action, and trading volume could also be contributing factors in the investment decision. After the portfolio manager has decided to invest, the Yuki trader watches the market to ensure best execution on that day.
Yuki does not utilise derivatives or leverage in any of its investment programs.
Yuki's compliance department reviews every trade to ensure that no single position makes up more than 10% of the portfolio. In addition, the compliance department monitors trading to ensure that the Yuki funds in aggregate do not hold more than 5% of the voting shares of a single company. The compliance department and portfolio managers monitor existing positions continuously.
In addition to Yuki's internal review systems, BNY Mellon acts as Administrator and Custodian for the Yuki funds. BNY Mellon values the funds daily, broadcasting holdings reports, trial balances and net asset values to Yuki via e-mail and an in-house reporting service within hours of market closing. BNY Mellon alerts Yuki if a breach of the investment restrictions has occurred or advises when a breach appears imminent.