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Internal Controls Structure

Operating a front office-centric internal control system

Internal Controls Structure

Internal control-related law and company regulation

Governance law
Governance law

Internal control standards

  • Prevent conflicts of interest, money laundering, unfair practices

Risk management standards

Financial consumer protection law
Consumer protection internal control standards
Comply with six sales principles, advanced products, etc.

Internal control decision-making structure

Board of Directors
  • Board of Directors - BoD committees : Management Committee, Audit Committee, Inside-trading Committee, Risk Management Committee
  • Board of Directors - CEO : Internal Control Committee, Compliance Unit -> Compliance Team, Compliance Management Team, Legal Affairs Team
  • Board of Directors - CEO : Internal Control Committee for Consumer Protection, Consumer Protection Center -> Financial Consumer Protection Team, Consumer Systems Team

Internal Control Systems

Internal Control Systems Compliance Team, Compliance Management Team, Legal Affairs Team, Financial Consumer Protection Team, Consumer Systems Improvement Team table
Compliance Team
  • -Manages internal control standards
  • -Operates self-compliance monitoring units
  • -Manages work manuals and processes covering all operations
  • -Devises and manages crisis response and business continuity plans
  • -Plans compliance education
  • -Supports internal controls for financial conglomerates
Compliance
Management Team
  • -Runs internal controls
  • -Prevents money laundering
  • -Preempts conflicts of interest, prevents insider trading, examines advertisements.
  • -Monitors for unfair trade practices, questionable financial investment product trades, and awarding/receiving, by employees, of a financial benefit.
  • -Reviews employee delegations or entrustments of assignments.
  • -Sequestration, collection
Legal Affairs Team
  • -Provides legal support
  • -Conducts litigations
Financial Consumer
Protection Team
  • -Collects customer opinions and complaints
  • -Detects financial frauds
  • -Detects incomplete sales
Consumer Systems
Team
  • -Enforces internal customer protection guidelines
  • -Oversees standard sales processes
  • -Plans and conducts mystery shopping
  • -Conducts pre-deliberations related to products and marketing
  • -Identifies new consumer needs
  • -Conducts customer satisfaction surveys
Message on Compliance and Ethical Management Status of strengthening internal controls