Strengthening the Internal Audit and Compliance Framework for the Financial Instruments Business
First written in FY2019-Q1. 3 of 5 entries say "Advanced", first in FY2019. Latest entry: FY2020.
No other company in this theme has enough history to compare yet.
- FY2020AdvancedAnnual report
「The company recorded profits for 2 consecutive months in May and June.」
Reviewing risk management and the management structure following the financial market upheaval, together with developing new products, resulted in monthly profitability for 2 consecutive months in May and June 2020. - FY2020-Q2AdvancedAnnual report
「In response to the major volatility in financial markets, the company took steps to secure earnings from the third quarter onward, including reviewing risk management and its management structure and developing new products, and achieved monthly profitability in May 2020.」
In the financial instruments business, the company reviewed risk management and its management structure following the market upheaval and developed new products, ultimately achieving monthly profitability in May 2020. - FY2019AdvancedAnnual report
「As a result of strengthening the internal control framework for the financial instruments business, including operational transparency and efficiency, compliance with laws and regulations, and risk management, eワラント証券 has now moved to a stage focused on future business development.」
The company has strengthened the internal control framework, legal compliance and risk management for the financial instruments business, and has moved to a stage focused on future business development. - FY2019-Q3RestatedAnnual report
「In addition, the company has been strengthening its internal control framework for the financial instruments business by ensuring operational transparency and efficiency, compliance with laws and regulations, and risk management, and has now advanced to a stage focused on future business development.」
The policy of strengthening the internal control framework, legal compliance and risk management in anticipation of expanding the financial instruments business remains in place. - FY2019-Q1First statedAnnual report
「Operating income was affected by higher selling, general and administrative expenses, including increased staffing in the internal audit and compliance divisions in anticipation of expanding the Type I Financial Instruments Business within the financial instruments business, which primarily comprises eワラント証券株式会社, EWARRANT INTERNATIONAL LTD. and EWARRANT FUND LTD.」
Measures to expand staffing in the internal audit and compliance divisions are described in anticipation of expanding the Type I Financial Instruments Business.