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Scientific Fiduciary Services Risk Control System

Fiduciary
Services
Risk
Control
  • Proper
    Organizational
    Strcture

  • Clear
    Division
    of Labour

  • Sophisticated
    Workflow

  • Effective
    Corporate
    Policies

  • Professional
    Stuff

  • Powerful
    Information
    Network

Constantly Improving System of Internal Control

The constantly improving system of internal control can keep a comprehensive management of the variegated risks by precautions, in-process control and retrospective checks, ensuring that the company achieves its goals.

Retrospective Checks and Corrections
(monitoring stage)

Internal Control Supervision and Evaluation

In-process Control
(mutual-control stage)

  • Ensure the balance and mutual supervision of power between related departments and positions with special attention attached to the important supervisory role of the accounting department.
  • Effect internal controls through asset isolation, blocking of information exchange between positions, real-time monitoring of accounts, computer system configurations and risks reports.
  • Business approval and decision-making procedure: programs evaluation committee and investment decision committee.

Precautions
(self-control stage)

  • Carry out due diligence and preliminary examination of the business, and regularly check the operation so as to promptly detect and correct problems of the internal control.
  • Develop means of internal control: authorized control, asset isolation, cross checks, business regulations, varied access limit according to positions, separation of positions and business logs.
  • Develop an internal control system: company regulations, internal control outline, basic management rules and department regulations.
  • Develop the environment for internal control: internal control culture, governance structure, organizational structure and staff quality.
  • Develop an overarching risk management system that covers the whole company and all its dealings.