Shinhan Investment Corp. Publishes Responsibilities Map Guideline to Strengthen Internal Controls

Shinhan Investment Corp. announced on May 18 that it has published the "2026 Responsibilities Map Guideline" internally to ensure the stable settlement of the newly introduced responsibilities structure chart and to strengthen internal controls.

The guideline incorporates the key elements of recently amended governance laws and the latest guidelines from financial authorities. It is designed so that executives and employees entrusted with management duties under the responsibilities structure chart can refer to it in practice. The guideline covers basic matters regarding the overall system, including: ▲the background and concept behind the introduction of the responsibilities structure chart, ▲criteria for allocation of responsibilities and methods for drafting responsibility descriptions and system diagrams, and ▲qualification requirements for executives and the governance framework.

Furthermore, it includes essential issues that practitioners must be familiar with concerning internal controls, such as: ▲the background and basic policy for establishing the Internal Control (Operations) Committee, ▲the CEO's eight overarching management responsibilities and the six management duties of executives, ▲criteria for assessing "reasonable care" for mitigation or exemption of liability, and ▲step-by-step remediation procedures and sanction standards in the event of an incident. Through this, Shinhan Investment Corp. aims to enhance the consistency and efficiency of its internal control system.

Lee Sunhoon, CEO of Shinhan Investment Corp., stated, "Thorough internal control amid an increasingly complex financial environment is a core competitive advantage for financial companies as well as a promise to our customers. The publication of this Responsibilities Map Guideline is significant as it provides a standard for fostering a mature financial ethics culture in which all executives and employees proactively fulfill their responsibilities, going beyond merely meeting legal obligations."

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