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CORPORATE BROCHURE

RISK MANAGEMENT

The Investment Risk Management Department, which is independent of the investment division and specializes in monitoring, was set up to appropriately manage risks by monitoring investment status of funds from diverse angles.

The Investment Risk Management Department has established a structure to ensure appropriate fund management by deploying human resources with knowledge of investment theories, related business laws and securities trading regulations, as well as IT skills to efficiently and effectively conduct monitoring operations.

The results of monitoring investment status of funds are periodically reported to the Investment and Risk Committee, which comprises the senior management of the investment division and risk management division, and improvement measures, etc. are deliberated and decided on an as-needed basis.

Furthermore, the status of deliberations at the Investment and Risk Committee meetings is regularly reported to the Executive Committee, which comprises the president and other top management team members, to establish a multi-faceted, multi-layered risk management structure on a company-wide level.

The main items to be monitored regarding the investment status of funds are as follows

Monitoring of risks associated with investment of funds

  • Market Risk
  • Credit Risk
  • Liquidity risk
  • Counterparty risk

Compliance monitoring associated with investment of funds

  • Status of compliance with the investment guidelines
  • Status of compliance with laws and regulations, etc.
  • Management of transactions that may cause conflicts of interest

※ The names of the structure, committee, etc. described above may be changed going forward.

CORPORATE BROCHURE

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