Risk Management & Compliance - Alpha Asset Management : Creating alpha and adding sustainable values to the world

The firm

Risk management and compliance process

Alpha Asset Management pursues transparency in management by undertaking thorough risk management and ensuring a sound internal control system, and protects returns and investors from diverse risk profiles.

Risk management

We are building a systematic and specific risk management system by designating an independent risk management officer, and operating the Risk Management Division and Risk Management Committee, as well as relevant Front Office.

Compliance

To ensure autonomy, we operate a separate Compliance Officer and Compliance Team. We are also building an internal control system and carrying out tasks including internal control and daily advance inspection of executives and employees, protection of customers, and anti-money laundering.

Risk management and compliance process

Independent risk management and compliance organizations
participate in all stages and processes of fund, maximizing transparency and minimizing risks.