Strengthening of Internal Control and Compliance Systems
First written in FY2016. 5 of 11 entries say "Restated". Latest entry: 2026-06-19.
- 2026-06-19AdvancedGovernance
「Following the transition to a company with an Audit and Supervisory Committee, we strengthened cooperation among the Audit and Supervisory Committee, the internal audit department and relevant departments. As a result, we received a certain level of recognition for improving the effectiveness of oversight through smoother information sharing and focused audit activities.」
Strengthened cooperation among the Audit and Supervisory Committee, internal audit department and relevant departments, together with focused audits, was described as progress in internal control and oversight. Integrated risk management and other matters remain ongoing issues. - FY2026AdvancedAnnual report
「The first line, comprising the business divisions, the second line, comprising the administrative divisions, and the third line, comprising the internal audit division, each perform risk management, monitoring and internal audits according to their respective roles.」
The company provided details of its internal management structure, including the Three Lines Model, an internal whistleblower system, the Compliance and Risk Management Committee, and risk-based audits conducted by 3 members of the Internal Audit Department. - FY2025AdvancedAnnual report
「In accordance with the Companies Act and its Enforcement Regulations, the company passed a resolution on the Basic Policy on Internal Control at a Board of Directors meeting held on 26 June 2024. The policy was subsequently reviewed, and the current Basic Policy on Internal Control is posted on the company’s website.」
In connection with the transition to a Company with an Audit & Supervisory Committee, the company adopted and reviewed its basic policy on internal control and disclosed a structure incorporating the Internal Audit Department, the public-interest whistleblower system and a three-stage checking process, among other measures. - FY2023RestatedAnnual report
「At Traders Securities, which constitutes the core of the Group’s business, the company holds Compliance Committee, Risk Management Committee and System Risk Management Committee meetings, including the top executives, thoroughly implements compliance and risk management, and develops an effective internal management structure centered on the officer responsible for overall internal management. A checking process has been incorporated into the business workflow, comprising a primary check by the head of each department, a secondary check by the internal management division and a tertiary check by the Inspection Department, with the aim of ensuring the proper execution of business operations.」
The company continues to operate its internal management structure through the Compliance Committee and other bodies, a three-stage checking process and an internal whistleblower system. - FY2022-Q3RestatedAnnual report
「During the consolidated cumulative third quarter period under review, there were no material additions or changes to the business and other risks described in the annual securities report for the previous fiscal year.」
The company stated that there were no material additions or changes concerning risks related to its internal management structure and compliance. - FY2019-Q3MaterialisedAnnual report
「The company recorded a ¥131.7 million fine following a recommendation for an order to pay a surcharge in connection with false statements in annual securities reports and other documents.」
Concerns regarding internal management and financial reporting materialized in the form of a recommendation for an order to pay a surcharge in connection with false statements in annual securities reports and other documents, followed by the recording of the surcharge. - FY2019-Q1WorsenedAnnual report
「We have established an external investigation committee and are investigating the possibility of accounting errors and other issues in past financial statements or consolidated financial statements.」
The company established an external investigation committee to investigate the possibility of accounting errors and other issues in past financial statements and related documents, and an extension of the filing deadline for the annual securities report was also approved. New matters requiring action concerning internal management and financial reporting have arisen. - FY2017-Q3RestatedAnnual report
「Based on the firm conviction that compliance is the framework supporting corporate value, the Group is working to strengthen its compliance structure, enhance the soundness of its business activities and earn still greater trust from all stakeholders.」
The company continues to pursue a policy of emphasizing compliance, internal control and the reliability of financial reporting. - FY2017-Q2RestatedAnnual report
「Based on the firm conviction that compliance is the framework supporting corporate value, the Group is working to strengthen its compliance structure, enhance the soundness of its business activities and earn still greater trust from all stakeholders.」
There has been no change in the company’s policy of emphasizing compliance, internal control and the reliability of financial reporting. - FY2017-Q1RestatedAnnual report
「Based on the firm conviction that compliance is the framework supporting corporate value, the Group is working to strengthen its compliance structure, enhance the soundness of its business activities and earn still greater trust from all stakeholders.」
There has been no change in the company’s policy of emphasizing compliance, internal control and the reliability of financial reporting. - FY2016First statedAnnual report
「Based on the firm conviction that compliance is the framework supporting corporate value, the Group is working to strengthen its compliance structure, enhance the soundness of its business activities and earn still greater trust from all stakeholders.」
The company’s policy is to ensure business soundness and the reliability of financial reporting through the Compliance Committee, the officer responsible for overall internal control, the internal control system and the whistleblower system.