meritz Financial Group

Audit Committee Inspect the operation of ethical management and report deficiencies to the BOD.

• Audit Team Support the Audit Committee, Review and monitor ethical management practices.

Internal Control Committee Establish internal control policies and strategies to promote ethical management and foster an organizational culture that strengthens employees’ professional ethics and commitment to compliance.

• Top management Establish/maintain/
  operate ethical management system.

  • Internal Control
    Council Implement internal control policies and strategies and support the CEO’s overall responsibility for internal control duties.

  • Compliance Officer Supervise ethical and compliance management, Investigate employees’ compliance with the Code
    of Ethics and Conduct.

    • Compliance Team Support the
      compliance officer and
      handles practical
      ethical and compliance
      management tasks.

    • Department
      Executive Primary responsibility for the department's internal control and ethical management obligations.

    • Compliance Support
      Staff Carry out practical ethical
      and compliance
      management tasks at the
      departmental level.