Compliance Function

Securities companies operate under the laws and regulations set by the regulator, the Financial Services Authority (OJK), as well as Self-Regulatory Organizations (SROs) such as the Indonesia Stock Exchange (IDX), KSEI, and KPEI. As business activities become more complex, companies face various risks, including compliance risk.

To manage and mitigate these risks, PT Mirae Asset Sekuritas Indonesia has a dedicated Compliance Unit/Division. Its structure and responsibilities follow applicable requirements, and it is overseen by the Board of Directors through the Director in charge of the Compliance Function.

The Compliance Unit/Division is responsible for ensuring the compliance function is carried out effectively and that the company adheres to applicable regulations, internal policies, and established procedures.

To support effective implementation, the Board of Commissioners and/or the Board of Directors provide active oversight through periodic monitoring, approval of policies and procedures, regular reporting, requests for clarification, and meetings when necessary.

Internal Audit Function

To help ensure PT Mirae Asset Sekuritas Indonesia operates in line with its vision and mission, the Internal Audit function conducts independent reviews and evaluations. Its purpose is to confirm that operations comply with applicable requirements and to help identify and manage potential risks.

Internal Audit also supports the company’s objectives through activities such as data sampling and, when necessary, investigations. The results help assess the effectiveness of internal controls, risk management practices, and corporate governance processes.