Assets
Investment Process
What is “Compliance”?
Compliance refers to the establishment, operation, and management of a monitoring process for ensuring that the firm’s activities are in line with laws and regulations.
- Shareholder’s Meeting
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Board of DirectorsAudit Committee
-
CEO(Preliminary)Investment
Committee- Each investment
division - Monitor compliance
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Compliance
Division(Compliance Officer)
Compliance process
- Compliance and stewardship
code education
for all employees -
-
Preliminary review
- Review proposals and operation plans
- Review contracts and provide legal feedback
- Evaluation by the Investment Committee
-
Regular and periodic
monitoring- Monitor compliance on a monthly, quarterly,
and semi-annual basis - Support the work of the Audit Committee
- Monitor compliance on a monthly, quarterly,
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Compliance system
management- Monitor the enactment and revision of laws
and administrative actions - Enact or amend internal regulations
- Employee training
- Monitor the enactment and revision of laws
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- Sound asset management
and protection
of client interests