- Devise scenario-specific handling measures
- Immediately implement necessary actions
We have built a stable management environment through
systematic risk management and a pre-compliance review system.
systematic risk management and a pre-compliance review system.
Emphasis on pre-compliance management through cross-checks between the investment team and the compliance team, and regular internal training
Establishment of management guidelines for company-wide response and recurrence prevention when a risk event occurs
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01 Monitoring
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02 Occurrence of a risk event
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03 Same-Day Resolution Principle
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04 Establishment of Recurrence-Prevention Guidelines- Thorough root-cause investigation and training
- Establishment of management guidelines for the relevant operations
- Verification of implementation through regular internal audits