Woori Fund Services

Systems

Compliance

To comply with laws, regulations, and guidelines, we conduct pre-, real-time, and post-compliance checks,
ensuring compliance throughout the investment process and supporting a stable operating environment.

System Overview
Pre-Trade Compliance System
  • 1st

    Trade Simulation Review

  • 2nd

    Order Details Review

  • 3rd

    Execution Details Review

  • Three-Stage Review (Pre-Allocation, Order, and Execution)
  • Automatic Notification of Intraday Batch Pre-Trade Compliance Check Results
  • Authorized Approver Order Control Management
Real-Time Compliance Monitoring System
  • Post-Trade Compliance
    100% Review
  • 15-Minute Interval
    NAV Calculation
  • 15-Minute Interval
    Post-Trade Compliance Monitoring
  • Real-Time Monitoring and Validation of Review Results
    (Incorporating Same-Day Trades, Market Prices, and Orders)
  • Real-Time 100% Post-Trade Compliance Monitoring
  • Real-Time Compliance Beneficiary Reports Provided
Post-Trade Compliance System
  • Full Compliance Review Following NAV Calculation

  • Rapid Application of Compliance
    Check Items Through Asset Classification Combinations

  • Provision of Diverse Compliance Monitoring Results

  • Application of Woori Financial Group’s Legal and Regulatory Notification System
  • Automatic Application of Regulatory Compliance Checks by Fund Type
  • Client-Specific Reporting and Exception Handling Functionality