Risk Management (GRC/ERM)

We provide total support for compliance, risk management and outsourcing of internal audit in order to achieve establishment and operation of an effective corporate governance infrastructure. Our professional staffs, mainly certified public accountants (CPAs) and practical experienced staffs at financial institutions, propose the most appropriate corporate governance framework based on the understanding of our client's risk profile with due consideration given to the of the scale of operation, features, related laws and regulations and others and provide support to its arrangement and operation. In particular, we provide full support not only in analyzing the current situation and pointing out issues but also in designing a solution, implementing it and undertaking continuous monitoring.
For internal controls, we also respond to any problems using our extensive knowledge based on the client's risk approach, such as from the development of internal auditing system and strategy that correspond to the risk environment, to the preparation of internal auditing provisions and internal audit manual and design and performance of an audit plan.

Risk Management Approach

We work to continuously enhance and add value to the process by evaluating risk from the management perspective and encouraging the improvement of the operation by providing practical and appropriate advices.

Advantages on Our Services

We are able to provide comprehensive support (including partial consulting) to clients in a number of fields including, performing analysis of current situations and evaluation plans, identifying issues developing a solution, implementing the solution and following up.

Change in Management

Timely establishment and improvement of governance process are required on the opening of new branches, acquisition of business licenses, organizational restructuring, changes to regulations and systems, improvements to significant deficiencies in management systems and others. We provide support to systemize and implement an entire project as a Project Management Office (PMO). If necessary, we can provide professional services continuously by having a JBA resource on site, even after the start of its operation (including the reporting to the authorities). Also, lawyers and judicial scriveners are arranged separately as needed.

Ensure Consistency in Governance Practices and Reduced Costs

When operating governance practices and conducting monitoring, staffs with a certain level of professional skills are required. Sometimes, it is difficult to secure these personnel continuously and efficiently. We can ensure consistency in governance practices and also reduce total costs by rendering support with these kinds of professional skills continuously.

Fraud Prevention and Investigation

Fraud prevention is becoming a critical management issue. We provide support to establish the most appropriate fraud prevention system based on the fraud risk assessment of each company. Moreover, when fraud is indicative or fraud actually occurs, we identify the cause, find out who is responsible and propose preventive measures.

Improvements and Efficiency through an Integrated Approach

In the case where there is lack of cooperation and communication between a company's corporate functions, such as compliance, risk management and internal auditing, this creates significant ineffectiveness in the overall governance process of the company. We perform an overview of the current situation of the overall practices in these fields and propose integration and efficiency of the governance process on the basis of scale of operations and risks.

Dealing with the Fair Value Disclosure and Fair Value Evaluation

To prepare the fair value model and its disclosure required for IFRS implementation, the accounting processes need to reflect the relevant risk management process. We contribute to the establishment of rapid and reliable fair value valuation processes by communicating with vendors, providing accounting advice, checking the results, confirming the internal control and others various means.

Risk Solution Service in China

We work together with the local staffs that are familiar with the inherent risks of undertaking business in China and provide comprehensive support in evaluating risks, designing corresponding proposals, performing, monitoring and preparing management reports.


 

Related Services

Compliance

We provide clients with comprehensive support, such as current risk evaluation, system establishment and monitoring, to establish and speed-up the framework for compliance. We can assist in creating real effectiveness by looking at the social environment, laws and regulations, company-specific compliance risk factors and integrating them with business processes using a risk focus approach.

  • * Compliance risk assessment (current risk evaluation)
  • * Establishment support services of the general framework for compliance
  • * Permission from authorities and support on registration
  • * The inspection manual of Financial Services Agencies and Securities and Exchange Surveillance Commission and investigation reports based on their guidelines
  • * Training support service
  • * Support service for regulations
  • * Support service on system establishment for fraud prevention
Compliance Services

Risk Management

We provide clients with professional advice for the current risk evaluation, improvement proposals and system development to establish an integrated risk management system.

  • * Integrated risk management (enterprise risk management (ERM))
  • * Operational risk management (risk and control self assessments (RCSA), KRls, modeling, governance)
  • * Market risk management (model maintenance and speed-up, back tests, stress tests, scenario analysis)
  • * Asset liability management (ALM), revenue management (RAPM, RAROC, EaR, etc.)
  • * Credit risk management (modeling, stress tests)
  • * Bank for International Settlements (BIS) Ⅲ
  • * Related services to asset management (risk management of securitized products, alternative investments, etc.)
Risk Management

Internal Auditing

Using the latest auditing theories our internal control professionals that understand Corporate Law, J-SOX and various regulations can provide value added services.

  • * Establishment and maintenance of internal auditing systems, quality evaluation of internal auditing
  • * Training and OJT (on-the-job training) to internal auditing department staffs
  • * Internal auditing based on the categories such as banks, security companies, investment companies, investment advisors, insurance companies and industrial companies
  • * System internal auditing
  • * Bank for International Settlements (BIS) Ⅲ Verification (calculation process of capital-to-asset ratio)
  • * Financial Instruments and Exchange Act
  • * Internal auditing for J-SOX
  • * Support for auditors' auditing and audit committees
Risk Management

Our Service

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