Ethics & Compliance

SK Securities upholds the highest standards of integrity and transparency and fulfills our corporate social responsibility to develop as a sustainable financial company that is admired and trusted by our stakeholders.

  • As trusted securities practitioners, we uphold strict ethical principles and maintain
    a zero-tolerance policy for illegal conduct, always prioritizing integrity. Our Code of
    Ethics is publicly disclosed on our official website.

    • We established the Code of Ethics, emphasizing integrity and transparency, and developed the Code of Ethics Practice Guidelines to
      embed anti-corruption principles across all employees.
    • We defined responsibilities toward shareholders and financial consumers within the Code of Ethics and Employee Behavior Guidelines.
    • We built an internal control system compliant with internal standards, with a monitoring framework led by the compliance unit.
    • We foster a culture of ethics and compliance through annual ethics pledge ceremonies and recognition programs
      that reward ethical behavior and reinforce responsible management.

    Ethics and Compliance Implementation Process

    GCF Project Policies and Guidelines
    Ethics and Compliance
    Regulations    		 Ethics and Compliance
    Regulations    		 Ethics and Compliance
    Infrastructure    		 Ethics and Compliance
    Integration
    • Code of Ethics
    • Employee Behavior
    • Internal control standards
    • “Guard of the Ethics”
      reporting
    • Other violation reporting
      channels
    • Voluntary reporting of gifts,
      entertainment, and convenience
    • Ethical Management
      Committee
    • Internal Control Committee
    • Ethics education and
      evaluation
    • “Five Musts and Five
      Must-Nots” campaign
    • Self-assessment of
      occupational ethics
    • Ethics Management Award
    • Code of Business Ethics
      Pledge
    • Compliance Program

  • Roadmap in progress

    • the
      Initial
      Stage
      Spread of awareness

      Building the foundation for Ethical Management ( ~ ’04)

      • Establishing basic infrastructure for the ethical management
      • Establishing awareness of the importance of the ethical management
    • the
      Secondary
      Stage
      Supplementing the system

      Establishing and strengthening the foundation for Ethical Management (’05 ~ ’06)

      • Strengthening ethical corporate culture
      • Entrenching the foundation by supplementing the existing systems and processes
    • the
      Third
      Stage
      Strengthening the power of execution

      Establishing and Strengthening the foundation for Ethical Management (’07 ~ )

      • Establishing the Ethical Management through actual practice
      • Establishing a self-executive system and guidelines for job ethics
    • the
      Fourth
      Stage
      Corporate enculturating

      Advancement Stage for the Ethical Management

      • Enculturation through constitutionalizing of ethical thinking and behavior
      • Securing Global Standard internally

  • CEO’s Strong Commitment & Leadership

    • Continuous dissemination of the Ethical · Compliance Management messages internally
    • Mandatory requirements for all departments to apply the Ethical · Compliance Management and internal control rules when establishing a short/long term plan
    • Strong commitment to adopt and practice the Ethical · Compliance Management → Annual “Ethical Management Awards” ceremony
    • Actively participate in CSR activities under the lead of CEO

    The Triangle of the Ethical Management

    The Triangle of the Ethical Management

    Raising SK Securities’ Corporate Value

    Socially Responsible Management
    • CSR activities befitting securities industry
    • Sustained and voluntary activities
    • Development and marketing of CSR CMA
    Integrity and Transparency
    Cohesive ethical management
    • BOD-centered management
    • Internal accounting control system
    • Ethical management infrastructure
    • Implementation of code of business ethics
    • Ethical corporate culture
    Generating Sufficient Profits for Sustainable Management
    • Pursue TO-BE Model
    • Pursue sustainable management