Compliance
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- Daily Process
- Monitoring report to compliance officer readjustment request for violators
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- Weekly Process
- Weekly report to CEO
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- Quarterly Process
- Quarterly repot to audit committee
Management type
- 1. Guideline of regulation & articles
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- Violation check by compliance checklist
- Prior check of investment pool and model portfolio
- Institutional guideline check by using computer system
- 2. Management guideline of internal control standards
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- Request for newcomer’s written promise of internal control standard observance
- Compliance officer’s advanced approval of sales advertisement & outgoing documents
- Setup brokerage firm selecting criteria & regular inspection
- 3. Information security management guideline
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- Record keeping of details of messenger and e-mail communications
- Restricted use of portable Storage devices and webhard