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Governance and Compliance

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Corporate Governance System

We adopted the Executive Officer System in June 2003 to accelerate decision making and enhance supervision and business execution.
The Board of Executive Managing Officers conducts preliminary reviews of key issues to inform the Board of Directors in its deliberations as the final decision-making authority.
Corporate Auditors audit the business execution performance of the Directors at SWS.
The Auditors attend Board of Directors meetings and other key meetings and also exchange information with the Internal Audit Department and Accounting Auditors to reinforce the effectiveness of our auditing.

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Compliance System

We established a compliance manual in 2005 to augment our compliance system with guidelines for daily operations. Every SWS Group employee is expected to adhere to the guidelines in the spirit of acting under the highest ethical standards. Meetings of the Compliance Committee, chaired by the director in charge of legal affairs, are held on a regular basis to reinforce this effort through the planning and implementation of measures that ensure business operations are being conducted legally and ethically and compliance risks are being identified, analyzed and dealt with.

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