 Menangani proses Pemeriksaan dari

 Menangani proses Pemeriksaan dari Otoritas Jasa Keuangan dan Bursa Efek
 Mengidentifikasi kebijakan, SOP dan Peraturan perundang-undangan yang terkait dengan industri sekuritas
 Menyusun kebijakan dan SOP tugas pokok dan fungsi unit Kepatuhan sesuai dengan ketentuan peraturan perundang-undangan di Pasar Modal
 Memastikan kepatuhan Perusahaan terhadap kebijakan dan SOP yang berlaku
 Memastikan kepatuhan Perusahaan terhadap ketentuan mengenai perizinan
 Memastikan kepatuhan Perusahaan terhadap ketentuan mengenai pelaksanaan pengawasan pegawai
 Memastikan kepatuhan Perusahaan terhadap ketentuan mengenai pengendalian internal
 Memastikan kepatuhan Perusahaan terhadap ketentuan mengenai pencegahan dan pemberantasan tindak pidana pencucian uang dan pendanaan kegiatan terorisme
 Melakukan pencegahan pengungkapan data yang bersifat rahasia oleh pegawai
 Melakukan pendeteksian, pencegahan dan penanganan apabila terdapat benturan kepentingan
 Melakukan pengawasan terhadap pembukaan rekening efek nasabah baru
 Melakukan pengawasan transaksi efek termasuk namun tidak terbatas pada transaksi untuk kepentingan Perusahaan sendiri atau nasabah terafiliasi
 Melakukan pengawasan atas Pengelolaan portofolio Perusahaan
 Melakukan pengawasan atas setiap informasi, nasihat, rekomendasi, dan/atau hasil riset yang dikeluarkan Perusahaan untuk diberikan kepada nasabah dan/atau disebarluaskan kepada masyarakat
 Melakukan pengawasan pencatatan dan pendokumentasian, termasuk penyimpanan dan pencegahan pengungkapan catatan dan informasi yang masih bersifat rahasia
 Melakukan penanganan dan pengadministrasian pengaduan nasabah dengan wajib memiliki mekanisme khusus untuk menangani dan menindaklanjuti pengaduan tertulis dari nasabah
 Melakukan pengawasan rencana kelangsungan usaha (Business Continuity Plan)
 Menyampaikan laporan secara berkala minimal 1 kali dalam setahun dan laporan secara insidental kepada dewan komisaris dan/atau direksi
 Menyediakan bantuan dan/atau melakukan pelatihan kepada pegawai pada unit kerja yang menjalankan fungsi-fungsi lain dalam rangka memenuhi kepatuhan fungsi dimaksud terhadap peraturan perundang-undangan di bidang Pasar Modal dan peraturan perundang-undangan lain yang terkait.
 Melaporkan secara rahasia kepada dewan komisaris dan OJK jika menemukan adanya indikasi pelanggaran atas ketentuan peraturan perundang-undangan yang dilakukan oleh Perusahaan dan/atau nasabahnya

結果 (英文) 1:

 Handling the review process of the financial services authority and the stock exchange Identify policies, SOP and laws and regulations related to securities industry Drafting policies and SOP basic tasks and functions of the compliance unit in accordance with the provisions of laws and regulations on capital market Ensure the company's compliance against policies and applicable SOPS Ensure the compliance of the company against the provisions on licensing Ensure the compliance of the company against the provisions on supervisory employees Ensure the compliance of the company against the provisions on internal control Ensure the compliance of the company against the provisions on prevention and eradication of the crime of money laundering and funding terrorism activities Perform prevention of disclosure of confidential data by employees Perform detection, prevention and treatment if there is a conflict of interest conduct surveillance against the effects of the new customer account opening Perform supervision of transactions including but not limited to transactions for the benefit of the company's own or affiliated clients Perform oversight of the management of Portfolio Companies conduct surveillance over any information, advice, recommendations, and/or research results issued the company to give to the customer and/or disseminated to the public conduct surveillance recording and documentation, including storage and prevention of disclosure of records and information that are still confidential Perform handling and administering customer compliance with mandatory have specialized mechanisms to handle and follow up the written complaint from the customer business continuity plan monitoring (Business Continuity Plan) report regularly at least once a year and report to the Board of Commissioners of incidental and/or the Board of Directors Provide assistance and/or conducting training to employees in the work unit that runs other functions in order to meet the compliance function is intended against the legislation in the field of capital market and other related legislation. Report confidentially to the Board of Commissioners and OJK indication if it finds violations of the provisions of the regulations made by the company and/or its customers

結果 (英文) 2:

 Handle the process of examination of the Financial Services Authority and the Securities Exchange
 Identify policies, SOPs and legislation related to the securities industry
 Formulate policies and SOP basic tasks and functions of the unit Compliance in accordance with the provisions of the legislation on Capital Markets
 Ensuring compliance the Firm's policies and SOPs applicable
 Ensuring compliance with the provisions regarding the licensing
 Ensuring compliance with the provisions regarding the supervision of employees
 Ensuring compliance with the provisions concerning internal control
 Ensuring compliance with the provisions on the prevention and combating of money laundering and financing terrorist activities
 Establish preventive disclosure of the data confidential by employees
 Perform detection, prevention and treatment if there is a conflict of interest
 to supervise the opening of securities accounts of new customers
 to supervise securities transactions, including but not limited to transactions for the benefit of the Company's own or client affiliated
 Perform oversight of the Management Company's portfolio
 to supervise over any information, advice, recommendations and / or research results issued by the Company to be given to the customer and / or disseminated to the public
 to supervise the registration and documentation, including storage and prevention of disclosure of records and the information is still confidential
 Perform the handling and administration of customer complaints with are required to have a special mechanism to deal with and follow up on a written complaint from the customer
 Supervise plan business continuity (business continuity plan)
 Deliver periodic reports of at least 1 times a year and report incidentally the board of directors and / or directors
 Provide assistance and / or training to employees in the work unit who run other functions in order to meet the compliance function referred to legislation in the field of capital market and legislation related.
 Reporting confidentially to the board of commissioners and the FSA if it finds any indication of violation of the provisions of the legislation made ​​by the Company and / or its clients