MIDAS Rist Management & Compliance

Risk Management

Risk Management & Compliance

• 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 crrection

Investment Committee

• Composed of CED, 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
• Comfirm on risk checklists

Portfolio Management

• Portfolio Management Guideline
• Performs risk management in the investment activities by itself (Fisk 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

Marketing

• Guideline of product development and manavement 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

Risk Management Team & Compliance Team

• 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

Compliance Process 1

Compliance Process 2