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MIDAS ASSET philosophy

Risk Management & Compliance

MIDAS ASSET

Risk Management & Compliance

Risk Management & Compliance

Risk Management

[리스크 & 컴플라이언스] : 위험관리규정, 중대한 리스크 사항에 대해 리스크 관리위원회에 보고 및 부의, 상시적으로 전반적인 Risk 사항에 대해 점검, 사전적인 위험관리 process, 관련 법규 및 지침 등 준수 사항의 상시 점검 및 시정 요구 | [리스크 & 컴플라이언스 위원회] : 각 부문별 대표 준법감시인, Rist Manager, 각 파트장으로 구성, 리스크 정책 심의. 회사의 운용철학을 토대로 자체적인 위험관리 지침의 재정 및 개정, 재반 리스크요인 점검 및 적절한 조치, 위반사항에 대한 모니터링 | [투자 위원회] : 각 부문별 대표 준법감시인, 운용팀장 (주식/채권) 및 운용역, Buy List 결정, Model Portfolio, Benchmark, 투자의 원칙, 주요 투자 유의사항 등 점검, Risk 점검 사항 확인 | [마케팅] : 상품개발 및 관리위원회 규정, 시장과 고객의 접점에서 Needs파악 및 대응책 마련, 상품설정 과정에서 발생할 수 있는 중대한 Risk에 대한 사전적인 점검, 대 고객 업무시 발생 가능한 위험에 대해 리스크 관리팀, 컴플라이언스팀과 상시적인 협업 | [자산운용] : 자산운용 업무규정, 투자시 자체적인 위험관리(개별종목 및 기업에 대한 Risk 관리), 매매주문시 사전적인 체크, 종목의 매매 및 기준가 산정 과정에서 발생 가능한 Operation Risk 최소화(운용지원역 cross check), 오류발생 방지를 위한 전산시스템
[Risk Management Team / Compliance Team] : Risk Management Guideline, Reports to the Risk Management Committee on serious risk-related events, Checks on the overall risk-related events on a regular basis, Preventive risk management process, Checks observance of the related laws and guidelines and enforce correction
[Risk & Compliance Committee ] : Composed of CEO, CIO, CMO, Compliance officer, Risk Manager, Sets risk management policy and enact in-house risk management guideline based on the fundhouse’s philosophy, Checks on the overall risk factors, Monitors on violations
[Investment Committee] : Composed of CEO, CIO, Compliance Officer, Heads of portfolio management(Equity/Fixed Income) and portfolio managers, Sets up Buy List, Model Portfolio, Benchmark, and other principles of investments, Confirm on risk checklists
[Marketing] : Guideline of product development and management committee, Finds and copes with needs of market and clients, Performs preemptive checks on the risk factors in developing and marketing products, Co-works with Risk Mgt. Team / Compliance Team on the risks in the client relationship
[Portfolio Management] : Portfolio Management Guideline, Performs risk management in the investment activities by itself (Risk managements on the investible securities and corporates), Preemptive checks before placing orders, Minimizes operation risks of trading and NAV calculation (management support teams cross-checks), Have IT System to prevent errors

Compliance Process_1

[Pre-trade Compliance Check] : Trading order => Compliance limit => Pre-trade Compliance, Compliance in trading => Pursuing the scrutinized and stabilized compliance system, OMS(Order Management System) | [Post-trade Compliance Check] : After book closing => Compliance limit => Pre-trade  Compliance, Report and Remedy => Minimize the violation, IMS(Investment Management System)
[Pre-trade Compliance Check] : Trading order => Compliance limit => Pre-trade Compliance, Compliance in trading => Pursuing the scrutinized and stabilized compliance system, OMS(Order Management System)
[Post-trade Compliance Check] : After book closing => Compliance limit => Pre-trade Compliance, Report and Remedy => Minimize the violation, IMS(Investment Management System)

Compliance Process_2

[STEP. 01] 매매 주문시 사전 컴플라이언스 | [STEP. 02] 일별 위반사항 확인 | [STEP. 03] 위반사항 발생 | [STEP. 04] 시정조치 요구, 확인서 징구, 대표이사 보고, Compliance위원회 보고 | [STEP. 05] 조치내역 및 결과 모니터링 | [STEP. 06] 조치내역 확인, 벌점 적용, 해소시 해당내역 정리, 보고 | [미조치인 경우] Compliance위원회 소집, 위원회의 결정에 따라 경고/문책, 시정조치 명령
[STEP. 01] Pre-compliance checks on order placements
[STEP. 02] Daily compliance checks on fund management details
[STEP. 03] Compliance Violation
[STEP. 04] Order the violator to take remedial actions and have him/her submit the report, Notify CEO & Compliance Committee immediately
[STEP. 05] Appropriate measures and monitoring
[STEP. 06] Check the Appropriate measures, impose compliance penalty point, when resolved a breach and reports
[When disregarded or delayed] Hold the Compliance Committee, Admonish or censure the violator on the decisions of the Compliance committee


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