The concept of "conduct" for enhancing compliance and risk management: Code of conduct and corporate culture for improving conduct (Part 2)
2024 January 9
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2024 January 9
Sakugetsu Law Office
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Points of attendance
In recent years, there have been a series of scandals in which inappropriate actions by company executives and employees have been spread on social media, damaging the value of the company. It is important for companies to move away from a "rule-based" or "compliance with laws and regulations" approach to compliance and shift to a "risk-based" approach that broadly includes "social norms."
On the other hand, it is not easy to instill awareness of the importance of compliance and risk management throughout the company, so it is important to devise ways to ensure that executives and employees understand the importance and see it as something that concerns them personally.
One way to achieve this is to focus on the concept of "conduct" (the behavior of executives and employees) and aim to manage and improve it.
In this seminar, we will clarify the essence of "conduct" and then provide an overview of the three key pillars for management and improvement (conduct risk management, dissemination of codes of conduct, and fostering corporate culture and climate).
[Seminar contents]
Part 1: Adopting the concept of conduct risk management
Part 2: Code of conduct and corporate culture for improving conduct
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Please refrain from registering at a law firm, in the same industry as our company, or with a free email address.
Sakugetsu Law Office
[Seminar materials can be downloaded from the form below]
Points of attendance
In recent years, there have been a series of scandals in which inappropriate actions by company executives and employees have been spread on social media, damaging the value of the company. It is important for companies to move away from a "rule-based" or "compliance with laws and regulations" approach to compliance and shift to a "risk-based" approach that broadly includes "social norms."
On the other hand, it is not easy to instill awareness of the importance of compliance and risk management throughout the company, so it is important to devise ways to ensure that executives and employees understand the importance and see it as something that concerns them personally.
One way to achieve this is to focus on the concept of "conduct" (the behavior of executives and employees) and aim to manage and improve it.
In this seminar, we will clarify the essence of "conduct" and then provide an overview of the three key pillars for management and improvement (conduct risk management, dissemination of codes of conduct, and fostering corporate culture and climate).
[Seminar contents]
Part 1: Adopting the concept of conduct risk management
Part 2: Code of conduct and corporate culture for improving conduct
lecturer
Sakugetsu Law Office
Daisuke Yoshimori, Attorney at Law
He was registered as an attorney in 2013. He has served as a lawyer at Nagao Toshinari Law Office, a financial securities inspector at the Financial Services Agency's Kanto Regional Financial Bureau, a specialist inspector at the Risk Analysis General Affairs Division of the Financial Services Agency's Policy Bureau, and a partner at Atsumi Sakai Law Office and Foreign Law Joint Enterprise, before assuming his current position in June 2024. From July 6 to the end of March 2022, he was seconded to Japan Post Holdings Co., Ltd. (Head of the Group Conduct Management Office from April 7), where he was involved in efforts to improve the conduct of the Japan Post Group.
Certified AML Specialist and Certified Fraud Examiner (CFE).
Our main services include support for strengthening compliance systems, crisis response and fraud investigations, support for anti-money laundering and counter-terrorism financing (AML/CFT), and support for dealing with anti-social forces.
Profile
Seigetsu Law Office is a law firm established in July 2022 by Tetsuya Ohno, a lawyer.
Based on his extensive experience in providing crisis response advice in the event of a corporate scandal, conducting internal investigations and third-party committee investigations, and advising on the enhancement of compliance systems, Mr. It contributes to the sophistication of compliance and risk management.
In addition, from the perspective of their responsibility to respect human rights, companies should always be aware of the possibility that their business, products, and services may have an adverse impact on human rights, and deal with it to stop, prevent, and or required to be reduced.
In the context of "business and human rights," the law firm of Sogetsu provides strong support to business companies and financial institutions that are engaged in countermeasures against organized crime and financial crime, such as anti-money laundering measures and countermeasures against anti-social forces.
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