Programs in Action

KB Securities operates a variety of action programs to ensure the effectiveness of its Code of Ethics, to efficiently operate its internal controls and to enhance the awareness of employees' compliance with laws and regulations.

  1. Explanation
    A code of ethics for KB Securities is formulated and managed based on a code of ethics at KB Financial Group. All employees and executives including the CEO make a pledge to practice a code of ethics and related legal compliance at the beginning of each year.
  2. Explanation
    Every third Wednesday each monthly is designated as the Day of Compliance and Ethics Training so that all departments and branches have their heads or compliance managers to conduct their own training on legal compliance and ethics. In addition, upon the request from each department and branch, 'On-Site Training on Internal Control' is conducted where employees of the Compliance Department visit each site to provide training.
  3. Explanation
    Aiming to raise employee's awareness on compliance and ethics and prevent statutory violation, all employees conduct 'Compliance Check' upon starting their computer to start their work every Wednesday so that they do self-check to see if they violate a code of ethics and related laws.
  4. Explanation
    KB Securities organizes the Idea Contest on Measures to Improve Internal Control to ensure internal control, statutory compliance and consumer protection for all employees every year in order to raise their awareness on internal control and find out weaknesses in the internal control scheme through engagement of employees. Outstanding ideas are awarded and reflected into improving business operations and systems.
  5. Explanation
    KB Securities runs the whistleblowing system to prevent financial accidents and any scale-up of an accident that already occurred, deciding on provisions in the Guideline for Whistleblowing covering whom to whistle blow on, methods of whistleblowing and protection of whistleblowers. Staff training and rewards are offered to facilitate employees to practice whistleblowing.