Mastern Invest Management

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
  • Board of Directors
    Audit Committee
  • CEO
    (Preliminary)Investment
    Committee
    • Each investment
      division
    • Monitor compliance
    • Compliance
      Division      (Compliance Officer)
  • 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
  • (Preliminary) Investment Committee
    • [Members] CEO and executives
    • [Function] Working-level decision-making
      body on investment deliberations
    • [Role] Decide on whether to proceed with
      investment
  • 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