Strengthening Internal Management Systems in Line with Business Expansion
First written in FY2021. 8 of 15 entries say "Restated". Latest entry: 2026-08-14.
9 other companies' latest entry also says "Advanced".
- 2026-08-14AdvancedEarnings
「We will further develop and strengthen corporate governance and internal controls in order to establish sales and management systems that serve customers’ best interests.」
Restates the strengthening of customer-oriented sales and management systems, corporate governance and internal controls as specific priority initiatives. - FY2026RestatedAnnual report
「Against this backdrop, the company positions compliance as one of its top management priorities and is focusing on establishing the proper management framework for financial instruments intermediary businesses and improving its effectiveness by strengthening and developing its own monitoring, verification and management framework, rather than relying solely on the management and guidance provided by securities companies.」
The company continues to strengthen and improve the effectiveness of its own monitoring, verification and management framework without relying solely on the management and guidance provided by securities companies. - FY2026-H1RestatedAnnual report
「① Further development of the Group's management framework • Further development of the operational management framework in accordance with the duty to act in customers' best interests • Further development of corporate governance and internal control」
The company continues to pursue a policy of further developing its customer-focused operational management framework, corporate governance and internal control. - FY2025-H1RestatedAnnual report
「Further development of the Group's management framework; establishment of a framework for the sale and management of financial products and other services that serve customers' best interests; and strengthening of corporate governance and internal control」
The company continues to emphasize developing its management framework, establishing a sales and management framework that serves customers' best interests, and strengthening corporate governance and internal control. - FY2024-Q2AdvancedAnnual report
「As financial instruments intermediary businesses are expected to require an even higher level of autonomous management, the company, which believes it should be a leader in the industry, held multiple web seminars in September 2023 as a first initiative to introduce its own monitoring, verification and management framework to other financial instruments intermediary businesses. A total of 155 businesses and 244 people participated in the seminars, and many expressed interest in attending similar seminars, so the company decided to hold a second seminar.」
In addition to strengthening its own monitoring, verification and management framework, the company held multiple web seminars for other financial instruments intermediary businesses in September 2023, attended by 155 businesses and 244 people. - FY2024-Q1AdvancedAnnual report
「To further promote and entrench customer-focused business operations, the company has worked to establish the proper management framework for financial instruments intermediary businesses and improve its effectiveness by strengthening and developing its own monitoring, verification and management framework, rather than relying solely on the management and guidance provided by securities companies.」
In addition to management and guidance by securities companies, the company specifically identifies its own monitoring and verification and the strengthening and development of its management framework, and is working to improve the framework's effectiveness. - FY2023AdvancedAnnual report
「Internal control (11 dedicated internal control officers assigned)」
The company specifically states that it has assigned 11 dedicated internal control officers, giving concrete form to its existing policy of strengthening the framework. It is also working to establish the proper management framework for financial instruments intermediary businesses. - FY2023-Q3RestatedAnnual report
「Against this backdrop, our group is focusing on strengthening its business management framework and increasing assets under intermediation in order to advance customer-oriented business conduct and support the success of affiliated IFAs.」
The company continues to strengthen its operational management framework. No new specific measures, such as establishing its own rules, or changes to the framework are described this time. - FY2023-Q2AdvancedAnnual report
「Against this backdrop, our group is focusing on strengthening its business management framework, including by establishing its own rules, and increasing assets under intermediation in order to advance customer-oriented business conduct and support the success of affiliated IFAs.」
In addition to its existing policy of strengthening the operational management framework, the company specifically identifies the establishment of its own rules as a measure. - FY2023-Q1RestatedAnnual report
「Against this backdrop, our group has supported the operations and success of affiliated IFAs while striving to advance customer-oriented business conduct by further strengthening its business management framework.」
The company continues to further strengthen its operational management framework in response to business expansion. No new changes to the framework or achievement indicators are described. - FY2022-Q3RestatedAnnual report
「The group has worked to advance customer-oriented business conduct by further strengthening its business management framework.」
The company continues to further strengthen its operational management framework, but no specific changes to the framework or new milestones for achievement are described. - FY2021First statedAnnual report
「The company will work to further enhance corporate governance while establishing an internal control framework in line with the expansion of its business in terms of both personnel and infrastructure, taking into account the operation of the internal control reporting system under the Financial Instruments and Exchange Act.」
This is described as a response to management challenges arising from increases in the number of IFAs, customers and transactions.