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Asset Management

Compliance

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Compliance

Compliance functions as a system to promote understanding of regulations among employees
and ensure that all activities comply with the law and internal regulations and the duty of care be exercised.

  • Implement internal control system

  • Conduct compliance due diligence and maintain market integrity

  • Uphold the highest standard of ethics

  • Implement preventive measures on conflict of interest

  • Implement financial consumer protection

  • Anti-money laundering

Sound asset management practices and protection of client’s interests

Compliance Process

Compliance Monitoring Process Overview

  • Preliminary Review

    Preliminary review on contracts, regulations, prospectus and other legal documents

    Provide advice on legal matters

    Monitor changes in regulations and inform to the employees

  • Monitoring

    Check compliance with regulations and protocols in asset management

    Check for issues in operation of properties

  • Follow-Up Activities

    Ensure instant notification and response to any violation of regulations

    Implement frameworks to prevent recurrence of violation and revise monitoring systems

Update and report monthly status of internal control to the CEO
Update and report annual operational status of the internal control system
(Board of Directors)

Portfolio

Domestic & Overseas Portfolio

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