Compliance System
CEO/
Audit
Report on Breaches
Education and Training, Targeting Internal Staff
-
Compliance
Related Laws, Norms, Terms and Conditions, Investment Instruction Manual Internal Control Standards, Ethics Code
-
Management and Surveillance
Pre-Report
-
Asset
Management / Marketing /General Management
Request for Correcting Breaches
Compliance Procedures
-
Recognition of the Possibility
and Event of Breaches -
- Compliance
- Daily Monitoring on Limit Breaches
Resolving Breaches, Based on Care
Checkup of Overlapping with Trust Bank
Communication and
Request for Resolving- Asset Management Department
- Pre-Check on the Breaches on Regulations, in the Operation Process
and Measurements to Resolve it
-
Report on Progress
-
Checkup about whether
the Breaches can be ResolvedCompliance Officer
Checkup about whether
the Breaches can be Resolved -
CEO
Command to
Resolve Breaches
