Hanwha Asset Management

Investment Management System

Hanwha Asset Management responds to market volatility through a systematic and robust risk management framework.

Investment Monitoring Framework Process

  • Portfolio Management

    Investment Team

    • Compliance with investment plans
    • Review of regulatory and guideline-based investment limits

  • Risk Management

    Risk Management Team

    • Risk management by type (market, credit, liquidity)
    • Setting and monitoring of position, loss, and risk limits
    • Calculation and analysis of risk metrics
    • Fund performance evaluation and performance attribution

  • Compliance

    Compliance Team

    • Monitoring of compliance with all internal control standards: Ongoing review of compliance with applicable laws, terms and conditions, and special agreements
    • Pre- and post-monitoring of daily operations: Proactive management of legal risks and review of operational errors, including corrective actions and confirmation of their implementation

Through dual monitoring , we rigorously manage risks across the entire investment process.

Risk Management Process

  • Establishing risk policies and procedures

    Risk Management Committee

    • Formulating and revising risk management policies and overall risk levels

  • Portfolio Risk Measurement

    • Risk assessment for new funds and products
    • Identification and quantitative measurement of key portfolio risks

  • Portfolio Risk Evaluation

    • Comparing current risk/return levels with established targets
    • Analyzing risk factor contributions

  • Portfolio Risk Reporting

    • Convening relevant parties and implementing follow-up actions, including measures to prevent recurrence
    • Daily risk reporting

We prevent risks in advance and ensure transparent investment management through internal controls and compliance oversight.

Internal Control Review Process

  • Establishment of the Internal Control System

    • Enactment and Revision of the Internal Control System
    • Establishment of the Regulatory Compliance Policy
    • Development of the Regulatory Compliance Programs
    • Compliance Oversight and Result Reporting
    • Establishment and Operation of the Responsibility Map

  • Monitoring and inspection

    • Monitoring of the operation of the internal control system
    • Reporting unlawful or improper activities to the Audit Committee, requesting sanctions, and requiring corrective and remedial measures for identified issues and deficiencies
    • Collecting information related to the internal control system

  • Pre- and post-review of daily operations

    • Prior review of the establishment, amendment, or repeal of internal rules, operational policies, and related procedures
    • Prior review of agenda items to be submitted to the Board of Directors
    • Prior review of new business initiatives
    • Prior review of external documents and marketing materials
    • Ongoing monitoring to ensure compliance with internal control requirements

  • Protection of clients, shareholders, and stakeholders

    • Handling customer complaints and reviewing the adequacy and appropriateness of public disclosure activities
    • Monitoring and supervising the adequacy of investor protection measures
    • Reviewing and preventing conflicts of interest

  • Support and advisory services related to the internal control system

    • Providing guidance to the Board of Directors, management, and relevant departments on the operation of the internal control system
    • Regular reporting to management and the Internal Control Committee on the establishment and implementation of the internal control system
    • Advising employees on regulatory compliance and operational matters