Risk Management System
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- Risk management
process - Compliance
- Plans to ensure transparent
management process - Measurement and
Management System - Risk response plans
Plans to ensure transparent management process
Plans to ensure transparent management process.
Regular employee training regarding legislation and instructions from supervisory authority
→ Highlight the importance of employee ethics
Report monitoring and internal audit results to the CEO and Audit Committee on a regular basis or whenever necessary.
- Monitoring
- Thorough daily monitoring - Regulations, individual trust agreements, guidelines, internal regulation compliance
- Strengthen management ethics
- Assess compliance with internal regulations via monthly internal inspection
- Audit
- Thorough internal audit (at least 1/year for each department)
- Themed inspection based on latest issues and employee training
- Reinforced monitoring of unfair trade practices such as collusion and use of inside information
(Online messenger, email, call recording)
- Evaluation
- Reflect the level of compliance with management-related regulations and internal control standard in
performance assessment - Request violators to submit a statement of reasons
- Employees who repeatedly violate them can be given a warning, referred to HR Committee or penalized.