Risk Management System
What is Compliance?
Compliance is a comprehensive concept that all executives and employees must be ensured to be in compliance with internal policies and external laws, regulations and standards. Compliance system must be self-established to control and supervise every staff member on proactive and regular basis.
Compliance System
Pureun Partners Asset Management implements and manages its own comprehensive compliance system to
achieve transparency and fairness, and foster preceding prevention of illegal and unfair actions by its employees.
achieve transparency and fairness, and foster preceding prevention of illegal and unfair actions by its employees.
- 1. Draft and supervise compliance program
- 2. Monitor and take corrective measures on how employees adhere to compliance and related laws and regulations
- 3. Prescreen and request for correction on adherence to related laws and regulations with regards to submission for consideration matter to BOD and committees under BOD
- 4. A preliminary review on adherence to related laws and regulations in developing new affairs such as enactment and derogation of articles of association, regulations and new product development
- 5. Compliance training and advice to employees
- 6. Supports and collaboration with Financial Services Commission, Financial Supervisory Service, Korea Financial Investment Association, KRX and Audits
- 7. Supports to BOD, management and relevant departments
- 8. Any other related works abovementioned
Compliance Execution System
