Compliance Management

We strive for transparent and fair trading practices and a culture of self-compliance.

Compliance Program

Compliance Program

Compliance Program (CP), consisted of code of conducts and internal policy decisions to meet fair competition laws and regulations contributes to control over legal, financial, operational risk or reputational damage.

Compliance
Program

  • Providing
    Code of Conducts
  • Preventing
    Law-breaking
  • Rewards
    and Punishments
  • Law-abiding
    Business

Benefits of Compliance Program

  • Prevents losses and damages

    Compliance prevents penalty, reputational damage, civil and criminal liability resulting out of or relating to the fair competition law violations.

  • Enhances positive reputation

    Compliance increases awareness of compliance issues among shareholders, employees and partners, and enhances a positive reputation of transparent and fair company.

  • Reduces potential liability

    Compliance reduces a chance of fine, investigation and other law enforcement imposed by regulatory authorities.

7-Element of Compliance Program

7

Element of CP

  • CEO’s Commitment to Compliance Policy
  • Compliance Officer
  • Compliance Handbook
  • Compliance Training Program
  • Internal Monitoring System
  • Penalties for Non-compliance
  • Documentation & Record Keeping System
  1. 1

    CEO’s Commitment to Compliance Policy

    CEO shall hold a compliance policy declaration ceremony or declare his/her will of compliance, in writing (including e-document) to all employees.

  2. 2

    Compliance Officer

    Compliance Officer shall be appointed by the Board of Directors and his/her appointment shall be notified to all employees.

  3. 3

    Compliance Handbook

    Compliance Handbook, published under the supervision of a Compliance Officer shall be distributed to employees whose duties are vulnerable to fair competition law violation.

  4. 4

    Compliance Training Program

    Training Programs (including online training) for preventing non-compliances shall be given to employees whose duties are vulnerable to fair competition law violation.

  5. 5

    Internal Monitoring System

    Compliance Officer shall give the Board of Directors plans (and results) of internal compliance monitoring, audit and investigation, in a regular manner.

  6. 6

    Penalties for Noncompliance

    By law shall stipulate (and execute) such disciplinary measures and penalties for employees that correspond with one’s breach of Compliance Program and/or fair competition laws.

  7. 7

    Documentation & Record Keeping System

    Compliance Program activities shall be recorded and maintained in a systematic way.

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