Investor Presentaiton
Strengthening compliance on the frontline
O
MUFG
Ensure proper business execution through strengthening ability to respond to compliance
matters not only at HQ (corporate center) level, but also at business divisions and branches,
in order to cope with changes in the operating environment and the expanding Group size
Bank
HQ
(corporate
center)
Director responsible for compliance
Response to new laws/regulations
((Financial Instruments and
Exchange Law. Tightening of money
laundering regulations)
Changes in economic
and social
environment
Customer needs
Expanding
Group size
Compliance & Legal Division
Reporting/ Supervision
Consultation
Business
Units
Branches
Business Unit compliance
managers
Internal
Control
Managers
Responding to customer requests
Area Business Administrators
Compliance officers
Overseas compliance
managers
Service provision
Customer
Strengthening ability to respond on the frontline
To strengthen ability to respond in branches, we will:
(1) Assign divisional internal control managers responsible for
compliance
(2) Reinforce compliance frameworks in our corporate and
international business unit
Retail: Assigned 244 Area Business Administrators in all
areas
Corporate: Assigned 35 compliance officers in corporate banking
branches
Established Corporate Compliance Division
International: Established Global Compliance Division
Started to strengthen anti-money laundering
approach, etc.
Plan to increase international compliance specialists
by 100
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