We regard compliance as the “most important matter” of management. In order to realize our corporate vision of “Unifying the world with FinTech,” it is a major premise for all managers and employees to practice proper compliance. The basic compliance policy for GFIT is set as follows.
Standard Compliance Policy
1. Purpose of this policy
We regard compliance as “not only observing rules such as laws and internal rules, but also acting fairly and honestly based on social good and common sense.” The basic compliance policies are outlined below.
2. Basic concept of compliance
We recognize that compliance is the highest priority in all aspects of business execution as a prerequisite for the soundness and appropriateness of management, and thus established the following basic ideas.
① We will not only comply with applicable domestic and foreign laws, international norms, and internal rules, but also act fairly and honestly based on social good and common sense.
② Every manager and employee will provide optimal products and high-quality services to customers, and practice compliance in order to earn the trust of customers.
3. Compliance Promotion System
① The “Compliance Department” will be established as an organization to centrally manage various matters related to compliance and maintain the soundness of operations.
② Develop policies and regulations to promote compliance.
③ Establish a reporting system when a problematic act in compliance is discovered.
④ Establish a system to report important compliance issues to management in a timely and appropriate manner.
4. Compliance Items to Promote-Compliance Code of Conduct
We are developing technologies to unravel the future of financial markets by modeling the movement of the financial market with advanced mathematics, utilizing all the data in the world, and predicting the movement of the market changing in real time by data science technology centered on AI.
The Company defines the compliance items that should be promoted as the code of conduct as follows.
① We recognize our social responsibility and mission as an internet-related service provider, and strive to ensure that all corporate activities comply with sound business practices and corporate ethics.
② We will comply not only with the wording of laws and regulations, but also with the spirit of the law.
③ We will act on the basis of the principle of self-responsibility.
④ We maintain fair, impartial and transparent relationships with all stakeholders, including customers, investors, shareholders, employees, and society.
⑤ We will take a firm stance against antisocial criminal forces.
⑥ We will take appropriate measures to prevent transactions from being used for money laundering and terrorist financing.
⑦ We will not pursue personal interests using undisclosed information.
⑧ We will properly manage transactions that may cause conflicting interests so that the interests of our customers are not unduly harmed.
⑨ We will pay close attention to the handling of customer information.
⑩ We will not use company assets for private purposes.
⑪ We promise to speak out without hesitation if any doubts or issues are found.
5. How to promote compliance
In order to ensure the effectiveness of compliance promotion, we will establish the following compliance promotion methods.
① Continue to disseminate and educate compliance in order to foster a high sense of ethics for each officer and employee, and to establish a corporate compliance culture.
② Strive to provide optimal products and high-quality services to customers.
③ The department that receives a compliance report will promptly investigate, and in the case of a certain scandal, take strict disciplinary action against the actor in accordance with the internal rules.
④ If an act that poses a problem in compliance occurs, analyze the cause and formulate measures to prevent recurrence, and take appropriate measures to promptly improve it.
⑤ If we discover or recognize matters that may have a significant impact on management, we will endeavor to prevent their expansion or occurrence and promptly report to the Board of Directors.