Samsung SRA Asset Management maintains a robust compliance monitoring system.
Overview of the Compliance Monitoring System
What is Compliance?
Compliance involves establishing, operating, and inspecting a system to ensure full adherence to legislations, regulations and guidelines by company executives and employees.
Key actions
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01
Operating Compliance Monitoring System
Inspect compliance with stipulated internal company standards
Access business operations and request data and information from executives and employees
Report and rectify illegal or unfair acts by executives and employees to the board of directors, CEO, and audit committee
Pre-examine compliance with relevant statutes for matters referred to the board of directors, investment committee, and others
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02
Training employees on compliance with legislations and regulations
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03
Providing legal consultations for issues that arise during the business operations
