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Risk Management System

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Risk management
process
Compliance
Plans to ensure transparent
management process
Measurement and
Management System
Risk response plans

First-hand review by the Management Team followed by
RM & Compliance Division’s secondary review,
regular compliance inspection training for the staff
and pre-compliance management.

Risk management are systematic decision-making process, double-check by the RMC Division and prevention of arbitrary decision making

Management : Test operation of
Preliminary Compliance System
and trade execution

Marketing : Deliver investor needs

Product Strategy : Devise trust
agreement

Final confirmation of IPS

Regular law/regulation training

Regular monitoring

Report of regular monitoring
resultsViolation: Report to CEO/Notify CIO

Report of audit results