Compliance
Eastwood Asset Management Co., Ltd. is striving for stable internal control and risk management by building a solid compliance system.
Internal Control System
Pre
Investment
Investment
- Inspection of internal control and risk management regulations
- Reflecting Fund agreement and internal limit
- Preliminary review of product development (legal review)
Continuous
Monitoring
Monitoring
- Real-time monitoring & managers’ compliance training
- Check for adequacy and prevent violations of operation management and unfair trade, etc.
Post
Investment
Investment
- Improving the risk management process
- Write a compliance report and review
improvement plans
Compliance
- Establishment and operation of a regular monitoring and supervision for the whole business to protect investors and improve management soundness
- Guaranteed the right to request the company to submit various data
- Report to the board of directors, CEO, and auditor and request correction
- Review the risk limit set by the company and report it to the Risk Management Committee
- To improve risk factors, request the relevant department to take relevant measures, etc.
하단영역
