Compliance Procedure

Shinhan Daiwa Brokerage has developed a reliable compliance system to make sure our solutions get are line with regulators’ requirements, government laws, and official directives addressed to market participants.

We divide our compliance management into more clear segments:

Identifying the regulators in the countries that we operate in and making sure we understand the background of each regulator and its specifics.

 

Getting acquainted with the language and specific terminology used in the framework of regulation and following all the requirements transparently, from due diligence to recommendations.

 

We Identify the challenges that refer to audits, statements, updates, and more. Finding the right solutions to meet any requirements.

Besides conforming to the set of rules in every country we operate in and to the regulations at international level, here at Shinhan Daiwa Brokerage we have an internal Code of Ethics that shapes our actions and interactions with our clients and among our team members.

 

We hold a Corporate Ethics Day annually, which is an occasion for our management team and all members of staff to reflect on our corporate culture.