GOLDE BRIDGE ASSET MANAGEMENT

Risk management

The world of new finance, indirect investment! At the center of that investment is the Golden Bridge.

Your success starts when you meet Golden Bridge.

Organization and activities
Organizing the compliance team and
starting the compliance monitoring activities
prior to the legalization of
the compliance function
Establishing
the foundation
Establishing the effective compliance monitoring foundation
by which the violation of any
management regulation can be
checked at all times
Acquiring
the system
Acquiring the compliance
monitoring system at all times by
appointing the compliance
manager and compliance officer

Authorities

Accessing to the general works in the company and asking for data
Asking for reporting and correction of any violations
Attending the meetings such as board of directors and auditing committee and making statements

Responsibilities

Preliminary compliance activities

- Regular compliance education to all staffs
- Minimization of the possibility of violations by establishing the internal regulation on the systematic operation (internal control standard, risk control regulation, instruction on operation instruction and regulation on the evaluation of securities, etc.)
- Making the fair and efficient work through the computerization of the works highly vulnerable to violations

Follow-up compliance activities

- Monitoring the daily management
- Asking for the correction of violations and careful attention
- Checking whether the correction is made and conducting the disciplinary action in case of no correction
- Preparation and reporting of weekly violations
- Enhancing the compliance of regulation by reflecting the compliance checking results in evaluating the annual fund manager