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Ethical
Management

Internal control system

Internal control standard

Board of directors
establishes an effective internal control system and the overall framework for implementing the system
CEO
establishes an appropriate internal control policy by performing and supporting all matters necessary for the establishment and operation of an internal control system
Compliance officer
conducts tasks under the direction of the BOD and the CEO and reports to the CEO without any restrictions
Establishment and operation of the compliance department
Compliance team is responsible for providing supports to the internal control committee and compliance officer
A compliance manager is appointed to each team, department and branch monitoring whether the organization is conducting its business in full compliance with regulations, rules, and policies (a deputy manager is appointed to perform such duty). All actions and duties related to compliance matter should be performed independently, guaranteed by the internal control standard.

Internal control committee

Eugene Investment & Securities has established and operated an internal control committee in accordance with Article 19 of the Financial Company Governance Act and Article 11 of the Internal Control Standards of the company regulations. With the CEO as the chairperson, the internal control committee is composed of the planning executive, risk management officer, and compliance officer and is convened at least semiannually. The Internal Control Committee plays a role in reviewing improvement measures such as sharing internal control results and reflecting employee evaluation, preparing inspections and countermeasures for vulnerable internal control areas such as financial accidents, discussing key internal control-related matters, and enhancing executives' ethics and compliance.