Comprehensive Support for Wide Range of Regulatory Issues

  • Support preparing the grand design for efficient action, by coordinating various efforts to be taken in response to financial regulation reforms from a comprehensive point of view rather than ad hoc basis, reflecting the expectations from regulatory and supervisory authorities and based on industry practice.
  • Support preparation for global regulations and principles for internationally active financial groups and financial institutions.
  • Support financial institutions’ establishment of frameworks for full application of Basel III and preparation for additional various Basel-related regulations (including appropriate response to proposed rules).
  • Support insurance companies’ preparation for international regulations including Solvency II, IAIG, and G-SII.
  • Support response to various financial regulations reform in Japan and overseas jurisdictions, including Dodd-Frank Act.
  • Support financial institutions’ development of Recovery and Resolution Plans (RRPs) in the relevant countries/regions.
  • Advise on overseas business expansion planning, including compliance with local regulations for business expansion, overseas entity establishment and business tie-up with local corporations.
  • Support establishment of business integration strategies, integration of governance framework after tie-up/merger with the other financial institution, including defining the role of the holding company, and implementation of third party assessment.
  • Advise and support on preparation for supervision/inspection by regulatory/supervisory authorities in Japan and overseas, and smooth communication with authorities including overseas authorities such as communication at supervisory colleges.
  • Support defining the concept of conduct risk (market conduct and business conduct), which requires appropriate management, by outlining the relationship with existing frameworks, and support establishment of necessary framework.
  • Support establishment of framework on group governance and group compliance management, corresponding to the current status of each financial institution.

Building Sustainable Business Models and Benchmarking

  • Benchmarking based on industry practice for establishment of business strategies to enhance profitability.
  • Support establishment of the risk appetite framework (including preparation of the risk appetite statement) and business process reform, and support implementation of relevant projects and establishment of the risk governance framework.
  • Support enhancement of the governance framework and the process for business strategy development/implementation, and promotion of the sound risk culture, including advice on operations of board of directors and various committees. Support evaluation of effectiveness of the framework and the process, and benchmarking based on international principles and industry practice.
  • Support enhancement of the process for capital planning and liquidity strategy development by utilizing the scenario analysis including the macro stress testing, and preparation for the dialog with regulatory authorities.
  • Support establishment of MIS (management information systems) framework for integrated management of profits/capital/liquidity (Support preparation of grand design for efficiently building necessary framework).
  • Support enhancement of the internal audit function, implementation of third party assessment of the internal audit system, and benchmarking based on industry practice.

Assess Appropriateness and Support Enhancement of Risk Management Frameworks, Risk Measurement Models and Methods

  • Support enhancement of the integrated risk management framework including introduction of the risk management based on macroprudence perspective.
  • Support benchmarking and assessment of appropriateness of risk measurement model based on industry practice, enhancement of current models, and development of new models.
  • Advise on the validation of business model’s resiliency through the reverse stress testing, establishment of action plans, identification of impediments for implementation of each management action, and establishment of countermeasures against the impediments.
  • Support establishment of comprehensive framework for group-wide macro stress-testing for the purpose of reviewing sustainability of mid- to long-term business model, and enhancement of the framework for conducting the stress tests.

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