Strengthening
ethics education |
- Enhance online and offline ethics training programs
- Include internal control and incident prevention training as mandatory in all courses
|
Whistle-blowing
system |
- Operate the “Guard of the Ethics” reporting system for internal and external misconduct
- Run the Grievance & Legal Counseling platform for consultations and advice
|
Transparent
procurement |
- Revise internal regulations to minimize procurement practices with high potential for unfairness
- Conduct the No Holiday Gifts campaign twice a year
|
Fair
competition |
- Enhance risk management via internal control reinforcement
- Reinforce monitoring of compliance with rules on report preparation and publication
- Strengthen the Compliance Officer's pre-approval process for advertisements
- Establish an enterprise-wide AML system based on a risk-based approach (RBA)
|
Feedback via
evaluation, surveys |
- Reflect compliance, including internal control activities, and customer return rates in employee KPI evaluations
- Use CS monitoring (customer satisfaction surveys) to evaluate branch employees
- Apply a demerit system that excludes performance bonuses for employees found responsible in substantiated complaints
|
| Monitoring system |
- Advance company-wide compliance system (prevention and detection)
- Require regular self-checks by compliance officers of each department
- Strengthen on-site inspections to ensure effectiveness of compliance implementation
|
Management of
benefit limits |
- Control and monitor financial benefits provided or received via internal system
- Operate Compliance Officer’s pre-approval system for any provision/receipt of improper financial benefits
|
