Ethical
Management

Compliance

Operation of
whistleblowing system

Eugene Investment & Securities operates a whistleblowing system to prevent internal corruption (corruption and fraud such as bribery, damage to company assets and private misappropriation, unfair instructions or coercion by superiors, retaliation against legitimate reporting, and other violations of laws and standards). The whistleblowing system facilitates the establishment and operation of the internal control system by detecting related problems early through the reporting of any illegal or unfair acts of the company or its employees to the company. This is a system that is implemented to protect whistleblowers, and it is currently operating based on the principle of non-disclosure.

Command leave

In order to prevent illegal and unjust acts of employees in advance, Eugene Investment & Securities has a command leave system (which orders employees who are performing tasks with high risk of financial accidents to take a leave for a certain period; system for checking adequacy during leaves). Accordingly, we select and conduct inspections of employees who handle tasks that are highly likely to cause financial accidents.

Compliance
LETTER

Eugene Investment & Securities organizes and distributes (official notices) major legal regulations and amendments related to the financial investment industry and cases of sanctions imposed on other companies by the financial supervisory authority to employees every month for easy understanding; thus raising employees’ awareness of compliance with laws and regulations. In addition, in relation to cases of sanctions against other companies by the financial supervisory authority, we are making efforts to prevent violations by preemptively checking the status of our business processes

Establishment of
Eugene Digital Law Library

Eugene Investment & Securities is operating the Eugene Digital Legal Library it has built in order to raise the compliance awareness of all executives and employees and avoid the risk of sanctions by the supervisory authorities. We are accumulating legal data by classifying major legal reviews and consulting-related reviews by content (investment brokerage business, investment trading business, trust business, discretionary investment business, IB business).

Anti-money laundering

Money laundering is the process of disguising as legitimate assets by hiding the source of illegal funds obtained from criminal activities. Eugene Investment & Securities thoroughly conducts customer confirmation (Customer Due Diligence, CDD) for clients trading with us to prevent money laundering under the Anti-Money Laundering and Public Threat Funding Act. Moreover, if there is a transaction suspected of money laundering, a Suspicious Transaction Report (STR) is submitted to the FIU, and cash transactions exceeding KRW 10 million per day are reported to the FIU as a Currency Transaction Report (CTR). In addition, we are steadily strengthening our efforts to prevent money laundering, such as upgrading and improving our anti-money laundering system by conducting an annual RBA risk assessment.