Investment Process
- Compliance aims to establish a strict system to control
violations of law and regulations in product development
and asset management.
- Advisory Role
-
- Request to review
product development
and management - Review of Laws
and Regulations - Compliance
Officer follow-up
upon reviewing
- Request to review
- Regulatory Role
-
- Management/
Management
Instruction -
Daily Compliance Inspection
Management
Instruction
Closure - Compliance
Inspection -
Follow-up Compliance Inspection
Error
Correction
Re-inspection
- Management/