Japanese

September  30, 2019
Financial Services Agency

Publication of the summary of “JFSA’s Approach to Compliance Risk Management” and “Trends and Issues in Compliance Risk Management”

The Financial Services Agency (JFSA) published the English summary of the discussion paper “JFSA’s Approach to Compliance Risk Management”.
This paper is in line with the basic concepts presented in “JFSA’s supervisory approaches -replacing checklists with engagement-” published on June 29, 2018, and is one of the supervisory approaches that have been issued on specific areas. The primary aim is to facilitate dialogues between financial institutions and JFSA to enhance their compliance risk management.
Following the discussion paper, the JFSA published “Trends and Issues in Compliance Risk Management”, a report that collects findings from dialogues with the management of financial institutions and monitoring activities. The outline is also made available in English.

 JFSA’s Approach to Compliance Risk Management

• Summary point (PDF:549KB)
• Outline (PDF:422KB)

 

 Trends and Issues in Compliance Risk Management

• Outline (PDF:430KB)