Mastern Invest Management


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
  • Board of Directors
    Audit Committee
    • [Members] Members of the Audit
      Committee who have high expertise
      in accounting
    • [Function] Audit employees’
      activities and accounting
    • [Role] Conduct audits and provide
      regular audit reports
  • CEO
    (Preliminary)Investment
    Committee
    • [Members] CEO and executives
    • [Function] Working-level decision-
      making body on investment deliberations
    • [Role] Decide on whether to proceed
      with investment
    • Each investment
      division
    • Monitor compliance
    • Compliance
      Division
      (Compliance Officer)
      • A Compliance Officer is appointed
        from the Board of Directors based
        on their expertise
      • [Operates as an independent
        compliance monitoring body,
        separate from the investment group
      • Enforce compliance, support
        Compliance Committee, report to
        legal and financial supervisory
        bodies, etc.

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
    • Compliance system
      management
      • Monitor the enactment and revision of laws
        and administrative actions
      • Enact or amend internal regulations
      • Employee training
  • Sound asset management
    and protection
    of client interests