{"id":29,"date":"2016-04-18T17:34:08","date_gmt":"2016-04-18T08:34:08","guid":{"rendered":"http:\/\/midasasset.com\/eng\/?page_id=29"},"modified":"2016-04-25T02:36:05","modified_gmt":"2016-04-24T17:36:05","slug":"risk-management-compliance","status":"publish","type":"page","link":"https:\/\/midasasset.com\/eng\/midas-philosophy\/risk-management-compliance\/","title":{"rendered":"Risk Management & Compliance"},"content":{"rendered":"
\n

MIDAS ASSET<\/p>\n

Risk Management & Compliance<\/p>\n<\/h1>\n<\/div>\n

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Risk Management & Compliance<\/h3>\n

Risk Management<\/em><\/span><\/h4>\n
\n\t\t\t\"[\ub9ac\uc2a4\ud06c<\/p>\n
\n\t\t\t\t[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
\n\t\t\t\t[Risk & Compliance Committee
\n] : Composed of CEO, CIO, CMO, Compliance officer, Risk Manager, Sets risk management policy and enact in-house risk management guideline based on the fundhouse\u2019s philosophy, Checks on the overall risk factors, Monitors on violations
\n\t\t\t\t[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
\n\t\t\t\t[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
\n\t\t\t\t[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\n\t\t\t<\/div>\n<\/p><\/div>\n<\/p><\/div>\n
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Compliance Process_1<\/em><\/span><\/h4>\n
\n\t\t\t\"[Pre-trade 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)” \/><\/p>\n
\n\t\t\t\t[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)
\n\t\t\t\t[Post-trade Compliance Check] : After book closing => Compliance limit => Pre-trade Compliance, Report and Remedy => Minimize the violation, IMS(Investment Management System)\n\t\t\t<\/div>\n<\/p><\/div>\n<\/p><\/div>\n
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Compliance Process_2<\/em><\/span><\/h4>\n
\n\t\t\t\"[STEP.<\/p>\n
\n\t\t\t\t[STEP. 01] Pre-compliance checks on order placements
\n\t\t\t\t[STEP. 02] Daily compliance checks on fund management details
\n\t\t\t\t[STEP. 03] Compliance Violation
\n\t\t\t\t[STEP. 04] Order the violator to take remedial actions and have him\/her submit the report, Notify CEO & Compliance Committee immediately
\n\t\t\t\t[STEP. 05] Appropriate measures and monitoring
\n\t\t\t\t[STEP. 06] Check the Appropriate measures, impose compliance penalty point, when resolved a breach and reports
\n\t\t\t\t[When disregarded or delayed] Hold the Compliance Committee, Admonish or censure the violator on the decisions of the Compliance committee\n\t\t\t<\/div>\n<\/p><\/div>\n<\/p><\/div>\n<\/div>\n","protected":false},"excerpt":{"rendered":"

MIDAS ASSET Risk Management & Compliance Risk Management & Compliance Risk Management [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 […]<\/p>\n","protected":false},"author":1,"featured_media":0,"parent":7,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":""},"_links":{"self":[{"href":"https:\/\/midasasset.com\/eng\/wp-json\/wp\/v2\/pages\/29"}],"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=29"}],"version-history":[{"count":5,"href":"https:\/\/midasasset.com\/eng\/wp-json\/wp\/v2\/pages\/29\/revisions"}],"predecessor-version":[{"id":145,"href":"https:\/\/midasasset.com\/eng\/wp-json\/wp\/v2\/pages\/29\/revisions\/145"}],"up":[{"embeddable":true,"href":"https:\/\/midasasset.com\/eng\/wp-json\/wp\/v2\/pages\/7"}],"wp:attachment":[{"href":"https:\/\/midasasset.com\/eng\/wp-json\/wp\/v2\/media?parent=29"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}