Risk Management
- Risk Management
- Developing an internal
control system
- Monitoring
- Preliminary surveillance
of daily activities
- Customer protection
- Offer support and advice relating
to the internal control system
-
- Internal control standards
- Detailed action plans
- Employee training and education
- Cooperation between supervisory authorities and
external auditor(s)
Building an advanced communications channel
Preparing compliance reports and keeping records
- Compliance officer
- Auditing
Committee
-
- Developing an internal
control system
- Establishing/revising internal
control standards
- Establishing compliance policies
and programs
- Establishing plan to monitor
compliance and report on same
-
- Monitoring and
researching
- Monitoring operation of
internal control system
- Reporting malfeasance to
the audit committee
- Imposing sanctions and
seeking improvements to
problematical areas
- Collecting information
relating to the internal
control system
-
- Surveillance of daily
activities
- Before-the-fact reviews of
general matters and
management regulations
that are to be established
or abolished
- Before-the-fact reviews of
agenda items submitted to
the BOD
- Before-the-fact reviews of
new projects
- Before-the-fact reviews of
outbound documents and
marketing data
-
- Customer protection
- Managing customer
complaints and management
disclosures and reviewing
the appropriateness of same
- Monitoring and supervising
the effectiveness of investor
protection measures
- Determining possible
conflicts of interest
-
- Support and advice relating to internal control system
- Advising the BOD,
management, and
operational departments
about the operation of the
internal control system
- Reporting to management on
the development and status
of the internal control system
- Monitoring employee
compliance with laws and
regulations
