Risk Category-Based Management and BCP/Information Asset Protection
First written in FY2016. 3 of 10 entries say "Advanced", first in FY2017. Latest entry: FY2026.
No other company in this theme has enough history to compare yet.
- FY2026Decrease in the number of audited branches and officesAnnual report
「The independent Audit Department, comprising 15 employees, audits the business execution of each division and branch at the head office and sales offices, covering 44 branches and offices, once a year and conducts follow-up audits as necessary. It also audits the internal management and risk management frameworks and the appropriateness, effectiveness and reasonableness of internal controls.」
The Audit Department's staff remained at 15, while the number of audited branches and offices decreased from 45 in the previous fiscal year to 44. - FY2025Decrease in Audit Department staff; number of audited branches and offices unchangedAnnual report
「The independent Audit Department, comprising 14 employees, audits the business execution of each division and branch at the head office and sales offices, covering 45 branches and offices, once a year and conducts follow-up audits as necessary. It also audits the internal management and risk management frameworks and the appropriateness, effectiveness and reasonableness of internal controls.」
The number of audited branches and offices remained at 45, while the Audit Department's staff decreased from 15 in the previous fiscal year to 14. Direct reporting to the Representative Director and the Audit and Supervisory Committee and monthly reporting to the Board of Directors continue. - FY2024Update to the number of audited branches and officesAnnual report
「The independent Audit Department, comprising 15 employees, audits the business execution of each division and branch at the head office and sales offices, covering 45 branches and offices, once a year and conducts follow-up audits as necessary. It also audits the internal management and risk management frameworks and the appropriateness, effectiveness and reasonableness of internal controls.」
The company disclosed a structure in which the 15-member Audit Department audits 45 branches and offices at the head office and sales offices once a year, reports directly to the Audit and Supervisory Committee and reports monthly to the Board of Directors. - FY2023AdvancedAnnual report
「For the purpose of contributing to the sound operation of the company, its internal audits are conducted in accordance with an Audit Annual Plan prepared in advance under the Internal Audit Rules. The independent Audit Department, comprising 15 employees, audits the business execution of each division and branch at the head office and sales offices, covering 46 branches and offices, once a year and conducts follow-up audits as necessary. It also audits the internal management and risk management frameworks and the appropriateness, effectiveness and reasonableness of internal controls.」
The company disclosed that its 15-member internal audit department audits the 46 branches and offices at the head office and sales offices once a year, and reports to the Audit and Supervisory Committee and monthly to the Board of Directors. - FY2022ReframedAnnual report
「The status of risk management is reported regularly to the Representative Director, the Board of Directors and the Audit and Supervisory Committee.」
The company continues to have responsible departments for each risk category and oversight by the Risk Management Department, while changing the reporting structure to include the Audit and Supervisory Committee. Information asset protection, the BCP and verification through internal audits also continue. - FY2021RestatedAnnual report
「The company has established internal rules, including the Risk Management Rules, Risk Calculation Standards and Risk Calculation Procedures, designated departments responsible for each risk category stipulated in the Financial Instruments and Exchange Act, and established a department responsible for verifying and overseeing the calculation of those risks, the Risk Management Department. It reports the status of risk management regularly to the Representative Director, the Board of Directors and the Audit & Supervisory Board members.」
The company continues to have responsible departments for each risk category, oversight by the Risk Management Department and regular reporting to management. - FY2019RestatedAnnual report
「The company conducts training based on its business continuity plan (BCP) in preparation for emergencies.」
The company continues its Risk Management Rules, oversight by the responsible departments and Risk Management Department, internal audits, BCP training and reporting to the Board of Directors. - FY2018AdvancedAnnual report
「Internal audits are conducted by the Audit Department, an organisation independent of business execution. Through audits of head-office divisions and sales branches and offices, it identifies and provides guidance for improving issues in sales conduct and administrative processing. The Audit Department has 15 employees and, during the current fiscal year, conducted audits of the operations and internal controls of 27 sales branches and offices and head-office divisions.」
The company states that the Audit Department's staff increased to 15 and that it audited 27 sales branches and offices and head-office divisions during the current fiscal year. The scope and staffing of risk and internal control management have been updated from the previous disclosure. - FY2017AdvancedAnnual report
「Internal audits are conducted by the Audit Department, an organisation independent of business execution. Through audits of head-office divisions and sales branches and offices, it identifies and provides guidance for improving issues in sales conduct and administrative processing. The Audit Department has 13 employees and, during the current fiscal year, conducted audits of the operations and internal controls of 26 sales branches and offices and head-office divisions.」
The company states that, in risk and internal control management, the 13 members of the Audit Department audited 26 sales branches and offices and head-office divisions during the current fiscal year. It also states that emergency training based on the BCP was conducted. - FY2016First statedAnnual report
「The company has established internal rules, including the Risk Management Rules, Risk Calculation Standards and Risk Calculation Procedures, designated departments responsible for each risk category stipulated in the Financial Instruments and Exchange Act, and established a department responsible for verifying and overseeing the calculation of those risks, the Risk Management Department. It reports the status of risk management regularly to the Representative Director, the Board of Directors and the Audit & Supervisory Board members.」
The framework covers market, counterparty, operational, systems and funding liquidity risks, with responsible departments and a Risk Management Department in place.