Strategy

Risk & Compliance

Risk Management Structure

Investment/Asset Dept.

Conducting strategic risk assessments before product development

Ensuring compliance with internal regulations and procedures for fund establishment and operations

Risk assessment through on-site due diligence and external institutional audits

In-House Committee

Risk Management Committee

Investment Committee

Asset Appraisal Committee

Service Provider Selection Committee

Risk Management Units

Conducting strategic risk assessments at every stage, from product inception to operation and transactions

Managing strategic risks to prevent improper business practices and mitigate conflicts of interest

Monitoring legal and regulatory compliance

Risk Management Structure

Investment/Asset Dept.

Conducting strategic risk assessments before product development

Ensuring compliance with internal regulations and procedures for fund establishment and operations

Risk assessment through on-site due diligence and external institutional audits

In-House Committee

Risk Management Committee

Investment Committee

Asset Appraisal Committee

Service Provider Selection Committee

Risk Management Units

Conducting strategic risk assessments at every stage, from product inception to operation and transactions

Managing strategic risks to prevent improper business practices and mitigate conflicts of interest

Monitoring legal and regulatory compliance

Risk Management System according to Management Stage

During Fund Establishment
During Fund Establishment
Product Development

Initial risk factor assessment by the Investment/Asset Dept.

Review by the Compliance Officer (to assess conflicts of interest and check for improper business practices)

Investment Committee

Committee approval based on the investment due diligence report and the risk review report

Systematic risk review conducted according to the product type

Risk Management Units Compliance Officer

Pre-review of the fund's terms, investment memorandum (IM), and key product disclosure

Service Providers

Selection of external service providers based on internal criteria and procedures

For transactions exceeding a certain amount, the Service Provider Selection Committee is convened

During Fund Management
During Fund Management
Investment/Asset Dept.

Preparation of a quarterly risk management status report for each fund

Conducting operations in accordance with laws, regulations, and internal policies

Committees

Convening of the Risk Management Committee quarterly to review fund risks

In case of potential insolvency, convening of the Fund Property Valuation Committee

Risk Management Units Compliance Officer

Review of each operational directive and pre-assessment of operational risk factors

Implementation of emergency response plans during crisis situations

Communication with Distributors and Investors

Providing regular operational reports and updates to distributors and investors

During Fund Redemption Management
During Fund Redemption Management
Asset Disposal

Commencement of asset disposal activities four months prior to maturity

If issues arise, obtaining investor consent for extension per the fund's terms

Risk Management Committee Risk Management Units

Monitoring activities to ensure smooth repayment of principal and interest to investors

Reporting and review by the Risk Management Committee

Emergency Response

Convening the Risk Management Committee to establish post-crisis measures if repayment or redemption is delayed

Review of future repayment or redemption plans

Notification to distributors and investors (convening of a general meeting of beneficiaries if necessary)