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Compliance Educational and Training Programs

The Company ensures that every officer and employee at sales divisions and branches is fully aware of and complies with laws, regulations and standards through a monthly compliance training program conducted in individual divisions and branches, job level-specific training (separately targeting officers, general managers, internal administrators, new recruits, etc.), specialized training (primarily for mid-career employees) and other training provided on a regular basis, in addition to day-to-day guidance by general managers and internal administrators, etc..
The Compliance Control Division receives reports on the contents and status of implementation of the training programs, and verifies and evaluates these programs with a view to increasing their effectiveness.
Also, in order to promote deeper understanding and knowledge of compliance matters, “compliance exams” are taken once a year.

Examples of Job Level-Specific Training Programs

Compliance training for officers
Generally these programs are in principle implemented twice a year (July and January), with the aim of raising awareness of compliance among officers, as well as facilitating the establishment of an effective business management structure.
Compliance training for business managers
Business managers refer to the heads of business units as defined by the self-regulatory rules of the Japan Securities Dealers Association or general managers the Company has judged necessary to appoint. Business managers are responsible for ensuring that every officer and employee of their sales divisions and branches conducts his/her jobs in compliance with laws and regulations. They also assume the responsibility of providing guidance to and exercising supervision of officers and employees to properly conduct business operations such as solicitation for investment and customer management.
With the goal of reaffirming our pursuit of legal compliance and a deeper recognition of compliance-related issues identified within and outside the Company, as required by the self-regulatory rules of the Japan Securities Dealers Association, the Company conducts a training course for relevant business managers once a year.
Compliance training for internal administrators
Internal administrators refer to those engaged in internal control operations, in either a business unit as defined by the self-regulatory rules of the Japan Securities Dealers Association or in divisions and branches the Company has judged necessary to appoint. Internal administrators are responsible for the full-time supervision of proper internal operations, ensuring that operations conducted in their divisions and branches conform to laws and regulations and are implemented appropriately.
With the goal of reaffirming our compliance measures and policies, together with standardizing and increasing understanding of business knowledge among internal administrators, the Company conducts a training program for internal administrators twice a year.