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Introducing the Governance System at Mitsubishi UFJ Morgan Stanley Securities.
Corporate Governance System
With the aim to invigorate the Board of Directors and to enhance transparency of management, Outside Directors are appointed, while the appropriateness of the execution of duties by the Directors is audited by the Board of Corporate Auditors.
Fiduciary Duties (details of Mitsubishi UFJ Morgan Stanley Securities' initiatives)
The Company is aspiring to further improve the products and services that contribute to customers’ asset growth by thoroughly implementing customer-first business operations.
Recognizing compliance to be one of the most important management issues, officers and employees have been making a concerted effort to thoroughly enforce compliance.
Compliance Educational and Training Programs
Through monthly compliance training program conducted at the divisions and branches and the job level-specific training held periodically, etc., the Company ensures that every officer and employee is fully aware of and complies with laws, regulations and rules.
Risk Management System
The Company has adopted the risk appetite framework, which organically aligns the Company’s business strategies and profits plans with the various risk management policies for centralized management.
Crisis Management System
We have put in place a crisis management system to minimize the impact of disasters and other crises on our customers and the market.
Internal Audit System
The results of internal audits undertaken by a division independent from the Operating Units are reported directly to the Board of Directors via a dedicated officer.
Basic Policy regarding Anti-Social Elements
The Company stands firmly against anti-social forces and rejects all ties with them through reinforced cooperation with external specialist organizations.