Search results for Compliance Management System
Crypto
Dunamu steps up fair trade compliance, expands leader-led compliance management
Dunamu, the operator of digital asset exchange Upbit, is strengthening its fair trade compliance programme and moving to establish a compliance management system led by on-site leaders. The company said it held a declaration ceremony on Sept. 3 at Incheon Nest Hotel. Executives and employees, including CEO Oh Kyung-seok (오경석), reviewed ethical and compliance awareness and agreed to follow key guidelines on fair trade, contacts with competitors and user protection.
Industry
Woowa Brothers renews ISO 37301 compliance management certification
Woowa Brothers, the operator of the Baemin delivery platform, renewed its ISO 37301 compliance management system certification, maintaining international recognition of its compliance framework. The certification recognises company-wide compliance policies and risk response systems and requires annual follow-up reviews and a full audit every three years. Woowa Brothers first obtained the certification in 2023. The company said it has built a dedicated compliance organisation, strengthened internal auditors and runs compliance campaigns.
Finance
Securities regulator files complaint against former NH Investment & Securities executive over insider information
South Korea\'s Securities and Futures Commission filed a criminal complaint against 8 people, including a former senior NH Investment & Securities executive, for allegedly using non-public information related to tender offers to make illicit gains. It also imposed maximum administrative penalties on 8 secondary and tertiary recipients accused of market-order disruption. Investigators said the suspects bought shares in 15 listed firms and later sold after disclosure. NH said it took internal control and disciplinary steps.
