{"id":182,"date":"2016-04-25T16:39:43","date_gmt":"2016-04-25T07:39:43","guid":{"rendered":"http:\/\/midasasset.com\/eng\/?page_id=182"},"modified":"2016-04-25T20:02:54","modified_gmt":"2016-04-25T11:02:54","slug":"risk-management-compliance","status":"publish","type":"page","link":"https:\/\/midasasset.com\/eng\/midas-philosophy-2\/risk-management-compliance\/","title":{"rendered":"Risk Management & Compliance"},"content":{"rendered":"

<\/p>\n

\n

MIDAS Rist Management & Compliance<\/strong><\/h1>\n<\/div>\n

<\/p>\n

\n
\n

Risk Management & COMPLIANCE<\/h2>\n
\n

Risk Management<\/span><\/h3>\n
\n
Risk Management & Compliance<\/dt>\n
\n
    \n
  • Risk Management Guideline<\/li>\n
  • Reports to the Risk Management Committee on serious risk-related events<\/li>\n
  • Checks on the overall risk-related events on a regular basis<\/li>\n
  • Preventive risk management process<\/li>\n
  • Checks observance of the related laws and guidelines and enforce crrection<\/li>\n<\/ul>\n<\/dd>\n<\/dl>\n
    \n
    Investment Committee<\/dt>\n
    \n
      \n
    • Composed of CED, CIO, Compliance Officer, Heads of portfolio management(Equity\/Fixed Income) and portfolio managers)<\/li>\n
    • Sets up Buy List, Model Portfolio, Benchmark, and other principles of investments<\/li>\n
    • Comfirm on risk checklists<\/li>\n<\/ul>\n<\/dd>\n<\/dl>\n
      \n
      Portfolio Management<\/dt>\n
      \n
        \n
      • Portfolio Management Guideline<\/li>\n
      • Performs risk management in the investment activities by itself (Fisk managements on the investible securities and corporates)<\/li>\n
      • Preemptive checks before placing orders Minimizes operation risks of trading and NAV calculation (Management support teams cross-checks)<\/li>\n
      • Have IT System to prevent errors<\/li>\n<\/ul>\n<\/dd>\n<\/dl>\n
        \n
        Marketing<\/dt>\n
        \n
          \n
        • Guideline of product development and manavement committee<\/li>\n
        • Finds and copes with needs of market and clients<\/li>\n
        • Performs preemptive checks on the risk factors in developing and marketing products<\/li>\n
        • Co-works with Risk Mgt. Team \/ Compliance Team on the risks in the client relationship<\/li>\n<\/ul>\n<\/dd>\n<\/dl>\n
          \n
          Risk Management Team & Compliance Team<\/dt>\n
          \n
            \n
          • Composed of CEO, CIO, CMO, Compliance officer, Risk Manager<\/li>\n
          • Sets risk management policy and enact in-house risk management guideline based on the fundhouse’s philosophy<\/li>\n
          • Checks on the overall risk factors Monitors on violations<\/li>\n<\/ul>\n<\/dd>\n<\/dl>\n<\/article>\n
            \n

            Compliance Process 1<\/span><\/h3>\n
            \n\t\t\t\tPre-trade Compliance check<\/strong><\/p>\n
            \n
            \n
            OMS (Order Management System)<\/span><\/div>\n<\/div>\n
              \n
            1. \n
              Trading order<\/div>\n<\/li>\n
            2. \n
              Compliance limit<\/div>\n<\/li>\n
            3. \n
              Pre-trade
              Compliance<\/div>\n<\/li>\n<\/ol>\n
                \n
              1. \n
                Compliance
                in trading<\/div>\n<\/li>\n
              2. \n
                Pursuing the scrutinized and stabilized compliance system<\/div>\n<\/li>\n<\/ol><\/div>\n<\/p><\/div>\n
                \n\t\t\t\tPost-trade Compliance check<\/strong><\/p>\n
                \n
                \n
                IMS (Investment Management System)<\/span><\/div>\n<\/div>\n
                  \n
                1. \n
                  Afterbook closing<\/div>\n<\/li>\n
                2. \n
                  Compliance limit<\/div>\n<\/li>\n
                3. \n
                  Pre-trade
                  Compliance<\/div>\n<\/li>\n<\/ol>\n
                    \n
                  1. \n
                    Report and Remedy<\/div>\n<\/li>\n
                  2. \n
                    Minimize the violation<\/div>\n<\/li>\n<\/ol><\/div>\n<\/p><\/div>\n<\/article>\n
                    \n

                    Compliance Process 2<\/span><\/h3>\n
                    \n
                    \n
                      \n
                    • \n
                      \n

                      STEP. 01<\/p>\n

                      Pre-compliance checks on
                      order placements<\/div>\n<\/li>\n

                    • \n
                      \n

                      STEP. 02<\/p>\n

                      Daily compliance checks on
                      fund management details<\/div>\n<\/li>\n

                    • \n
                      \n

                      STEP. 03<\/p>\n

                      Compliance Violation<\/p><\/div>\n<\/li>\n

                    • \n
                      \n

                      STEP. 04<\/p>\n

                      Check the Appropriate measures
                      impose compliance penalty point
                      when resolved a breach and reports<\/div>\n<\/li>\n

                    • \n
                      \n

                      STEP. 05<\/p>\n

                      Appropriate measures
                      and monitoring<\/div>\n<\/li>\n

                    • \n
                      \n

                      STEP. 06<\/p>\n

                      Order the violator to take
                      remedial actions and have
                      him\/her submit the report
                      Notify CEO & Compliance
                      Committee immediately<\/div>\n<\/li>\n<\/ul>\n

                      \n

                      When disregarded or delayed<\/span><\/p>\n<\/div><\/div>\n<\/p><\/div>\n<\/article>\n<\/section>\n<\/div>\n","protected":false},"excerpt":{"rendered":"

                      MIDAS Rist Management & Compliance Risk 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 […]<\/p>\n","protected":false},"author":1,"featured_media":0,"parent":158,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":""},"_links":{"self":[{"href":"https:\/\/midasasset.com\/eng\/wp-json\/wp\/v2\/pages\/182"}],"collection":[{"href":"https:\/\/midasasset.com\/eng\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/midasasset.com\/eng\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/midasasset.com\/eng\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/midasasset.com\/eng\/wp-json\/wp\/v2\/comments?post=182"}],"version-history":[{"count":2,"href":"https:\/\/midasasset.com\/eng\/wp-json\/wp\/v2\/pages\/182\/revisions"}],"predecessor-version":[{"id":212,"href":"https:\/\/midasasset.com\/eng\/wp-json\/wp\/v2\/pages\/182\/revisions\/212"}],"up":[{"embeddable":true,"href":"https:\/\/midasasset.com\/eng\/wp-json\/wp\/v2\/pages\/158"}],"wp:attachment":[{"href":"https:\/\/midasasset.com\/eng\/wp-json\/wp\/v2\/media?parent=182"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}