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Compliance

OBJECTIVES OF COMPLIANCE

To protect interests of the company and investors through compliance with applicable laws and regulations in relation with management of clients’ funds, protection of conflicts of interest, and so on.

COMPLIANCE FRAMEWORK

We have set a framework in order to effectively carry out compliance duties as follows:

  • Appoint an experienced compliance officer,
  • Establish compliance manual and updated amendment to the most recent applicable laws and regulations,
  • Establish ethical standards, and
  • Implement compliance monitoring programs to ensure compliance with the compliance manual

COMPLIANCE ORGANIZATION

We have established the following organization to adhere laws and regulations;

  • Board
    • Set standards on establishment and operations of framework of internal control systems.
      (such as enforcement of compliance manual and amendment to the manual)
  • CEO
    • Set compliance policies, and
    • Support human and physical resources to ensure establishment, maintenance and operations of internal control systems
  • Compliance Officer
    • Check to be compliant with compliance manual,
    • Review on appropriateness of internal control and compliance manual, request for improvement or correction of problem or weak points,
    • Provide advice on compliance issues and perform education for employees,
    • Supervise fair and equal treatment in situation of conflicts, etc.

MEASURE FOR TRANSPARENCY AND FAIRNESS

The compliance officer carries out his/her duties in order to ensure transparency and fairness as follows:

  • Review personal dealings by employees,
  • Monitor receiving and offering gifts, entertainment, etc.,
  • Evaluate conflicts of interest related to external activities,
  • Review and approve cross-trading, and
  • Review appropriateness of corrections of each error