LS Securities, strengthen ethical business practices through a compliance commitment letter... enhance customer trust

LS Securities Holds a Company-Wide Law Compliance Commitment Signing Ceremony, Reaffirming Its Internal Control and Ethical Business Intent, and Kicking Off Efforts to Strengthen Compliance Operations to Enhance Customer Trust.

LS Securities said it held a “Law Compliance Commitment Signing Ceremony” on April 14, 2026, with the aim of instilling a law-abiding spirit and strengthening ethical awareness. The event was held the day before at the Seoul Yeouido headquarters and was intended to clearly state the company-wide commitment that all employees will carry out the policy of a strict internal control system. Since the securities industry handles client assets, compliance, preventing conflicts of interest, and information management are directly tied to the company’s reputation, making the importance of internal control especially prominent.

The content of the commitment includes complying with internal control standards and related regulations, performing the duty of care expected of a good manager, prohibiting any unlawful or improper conduct, and prohibiting the use or provision of information beyond authority and beyond the scope and purpose. In short, each employee commits to strictly follow laws and regulations and the company’s internal rules in the course of their work, and not to use information or provide information to the outside beyond their own authority. Internal controls at financial companies are not simply formal procedures; rather, they are considered a foundational apparatus for reducing risks such as improper sales, seeking personal benefits, and misuse of non-public information.

At the signing ceremony, Hong Won-ji, a representative of LS Securities, urged all employees to once again remember their responsibilities and intent to comply with the law, and to do their utmost to fulfill their respective duties in order to become a top-tier ethically operated securities company recognized for integrity. This has been interpreted not only as a hope for the ethical awareness of individual employees, but also as a message to embed a culture of law compliance across the entire organization—from the highest management level down to the practical departments. In recent times, the financial community has increasingly come to recognize that failures in internal control can directly lead to reputational damage, regulatory sanctions, and customer loss, and that such declarative measures are also becoming an important part of conducting business.

Ultimately, this signing ceremony is more akin to a securities company’s external declaration of its intent to treat credibility as a competitive edge, rather than a mere internal activity. Looking ahead, it is expected that what will matter even more is whether such commitments can be effectively translated into actual business checks, strengthened training, and improvements to the responsibility system. This trend is very likely to become an important standard in the future for measuring whether internal control levels and ethical business practices exist across the entire financial investment industry.