Other Systems

By operating various ethical management systems, SK Securities has strengthened employees’ sense of ethics and fair competition.

Introduction of other system
System Contents
Reinforcement of
Ethical Management Education
  • Reinforcement of ethical management education on/off-line
  • Internal control and accident prevention education → Included as essential in all curriculums
Whistle-Blowing
  • Whistle-Blowing system on internal and external irregularities through the operation of
    ‘the Guard of the Ethics’
  • Operation of ‘Counseling for Civil Services and Legal Affairs’ in Groupware → Operate counseling and advice sections for members who seek assistance in counseling for civil complaints and etc.
Transparent Purchase
Practices
  • Maintaining in-house regulations related to purchasing activities → Minimizing unfair purchase patterns, such as private contracts
  • ‘No Holiday Gift’ Campaign → Creating a win-win relationship with Biz partners in a fair and transparent manner
Realizing Fair Competition
  • Operation of the Compliance Program → Introduction of self-compliant action guidelines to comply with related regulations and laws such as the Fair Trade Act
  • Strengthening internal control functions to secure soundness in the stock market
  • Strengthening monitoring of compliance with regulations on preparation and promulgation of investigation and analysis data
  • Adhering to and strengthening compliance with Compliance Officer’s reviews on advertisement
Feedback such as
assessment, survey, etc.
  • Conduct surveys on the Ethics Management → Annual basis
  • Assessment on civil complaints and customer return → Reflected on evaluation of departments and members involved
  • CS Monitoring → reflected on evaluation of members involved in charge of the headquarters and branch offices
  • Reflected in internal control and the ethics management performance → Reflected on KPI evaluation
  • Implementation of the Demerit system, including the exclusion of performance bonuses/incentives for those involved in unfair trade transactions
Monitoring System
  • Enhancement of internal control system between the headquarters and branch offices that can identify any unfair trade transactions at an early stage and respond efficiently
  • Perform self-control functions of the Compliance Officer
  • Field inspection of internal control
Management of
Benefit Provision Limits
  • Management and control of the data system to limit the provision of benefits to asset managers, etc.
  • Operation of the pre-approval system of the Compliance Officer.