×

We are a group of industry leading specialists
in the real estate & alternative asset investment industry

We are a group of industry leading specialists
in the real estate & alternative asset investment industry

Compliance

 

Definition

  • With compliance policies, Mastern ensures that each and every executives and employees not only align their daily business activities with the governing rules and regulations under the internal compliance system, but also act proactively to setup, run, and maintain a self-assessing environment.

Advisory Committee
  • (Members) Accounting specialists assisted by specialists of related industrial domains
  • (Functions) General-level audit and accounting audit
  • (Roles) Implementation of audit and submission of audit report on a regular basis
(Preliminary) Investment Screening Committee
  • (Members) The representative director and board members
  • (Functions) Investment-related decision making and investment screening
  • (Roles) Decision making before investment
Compliance Department (Compliance Officer)
  • Department nominates qualified professional compliance officer in the Board of Directors.
  • Department establishes itself separate from any asset management organization.
  • Department is in charge of, without limitation, internal control, auditorial committee support and reporting to legal and supervisory bodies.

Compliance Processes

Compliance and ethics training for executives and employees


Preliminary I/C
  • IM, operating guidelines, and other related dossier need reviewed in advanced
  • Contractual terms and conditions need reviewed, legal opinion provided
  • Preliminary I/C needs held
  • I/C needs held
Regular • Rolling-basis Monitoring
  • Compliance monitoring to be held on a monthly / quarterly / semi-annual basis.
  • Compliance Department to support the works of audit committee .
Improvement and Reporting
  • Compliance processes and results need reported to the Board of Directors and the Audit Committee
  • Such reporting needs submitted to Financial Supervisory Service and Financial Services Commission

Sound asset management. Secure protection of client benefits.