Compliance
Compliance System
Compliance Team
- Board of directors/ CEO
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- Related Laws and Regulations, Terms and Prospectus Internal Control Standards, Code of Ethics
- Management Supervision / Advance Report
- Fund Management/ Marketing / General Management
- Build Foundation Establish a system for checking operation-related violation of laws and regulations and establish effective compliance monitoring
- Configurations and activities Establish compliance divisions to monitor companies under laws and regulations
- Ethical Awareness Possess spirit of compliance and being responsible as an asset management expert