UEDA YAGI TANSHI Co., Ltd.UEDA YAGI TANSHI Co., Ltd.

UEDA YAGI TANSHI Co., Ltd.

Risk Management

Ueda Yagi Tanshi has built a framework appropriate for managing and monitoring an array of risks, including market risk, credit risk, operational risk, and compliance risk. We aim to earn and sustain the trust of our clients each and every day by protecting capital and funds, implementing efficient management, responding swiftly to changing and tightening regulations, and executing operational processing in a highly reliable manner.

Specific measures being implemented

Ueda Yagi Tanshi officially inaugurated its Internal Audit Office in April 2010.

We are implementing an internal governance structure that is in alignment with the so-called J-SOX Law.

We are implementing an integrated approach to risk management by quantifying both credit risk and market risk.

Reflecting the importance of legal compliance, Ueda Yagi Tanshi formulates a compliance program each fiscal year under which all employees are given periodic compliance training.

Ueda Yagi Tanshi has formulated a business continuity plan (BCP) that utilizes its Osaka Head Office to continuously provide the operations required of tanshi companies, even during natural disasters and other emergencies. We endeavor to build a functional BCP system through recovery drills that are conducted periodically at the backup site among other activities.

Furthermore, through the operation of the ALM Committee and the Operational Risk Management Committee, we have built a structure for regularly monitoring a wide range of risks, including market risk, liquidity risk, credit risk, administrative risk, and system risk.

Risk Management Organization Chart

リスク管理体系図
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