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Walk the right path>Compliance Program > Current CP

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2019.07.20 14:41:00 rolling play rolling stop
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Current CP

Pledge of
compliance

Pledge

Samsung executive and employees pledge to do away with unfair practices and
establish fair and transparent transaction order as follows.

  1. First,we value honor and dignity with truthful and right action and heads towards the right
    direction.
  2. Secondly,we respect competition order and aggressively promote our principle of Customer First
    based on right and transparent management
  3. Thirdly,we stay away from unfair collective action and unfair transaction
  4. Fourthly,we voluntarily obey the Fair Competition Act.

Status of Perform

Since its adoption of a 'Fair Trade Compliance Structure' in 2006,
Samsung Securities has been in full compliance with fair-trade standards.

1. Top management has made clear its stance on fare trade compliance

  • All personnel, from the CEO to rank-and-file employees, have expressed their support for and resolve to comply with fair-trade standards
  • The past and current CEOs have made public their firm commitment to fair trade through their messages addressed to employees.

2. Appointment of compliance managers

  • The Company's compliance officers have been appointed fair-trade compliance managers in complete charge of and fully responsible for the compliance programs adopted.

3. Publication and distribution of compliance handbooks

  • The handbook explain in simple language how to comply with fair-trade standards.
  • The handbook also contains do's and don'ts categorized by business unit.

4. Operation of education programs

  • Different levels of education programs are offered according to the ranks and units of employees.
  • Compliance awareness test is administered annually.

5. Monitoring of compliance

  • Internal control systems have been set up to deter unethical intent or to identify violations early on.
  • The results of internal controls are regularly reported to the board of directors and to the audit committee.

6. Handling of compliance violators

  • Disciplinary measures have been devised and applied to violators of fair-trade standards.
  • Fair-trade violators are either denied of promotions or given other penalties, or both, in accordance with the severity of violations.

7. Construction of document management systems

  • All fair-trade compliance-related activities are recorded and documented, such as systems implemented, education programs administrated, and the results of monitoring.