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ESG Activities Risk Management/Compliance

Ensuring Full Compliance

Initiatives to Promote Compliance

The OKI Group has established the Compliance Committee (with the Chief Compliance Officer as Committee Chairman) in accordance with the top management's Compliance Commitment thereby striving to ensure rigorous compliance. On a quarterly basis the Committee monitors the management progress of the common risks identified by the Risk Management Committee. The Committee also deliberates and decides on compliance training plans and oversees their implementation. Moreover, we implement fixed-point observations on conduct and awareness relating to compliance of executives and employees, and to make the most of such measures, we implement compliance awareness surveys on an ongoing basis.

In order to discover and rectify improper activities at an early stage, we have established consultation and reporting channels to enable anonymous reports, as well as reports to outside directors and Audit&Supervisory Board members at every Group company, and stipulated whistle-blowing regulations such as those about the protection of whistle-blowers. In fiscal year 2018, 66 reports and consultations were received at the OKI Group in Japan. Furthermore, the system which includes an external contact point and Group-wide contact point newly established in the previous fiscal year was made known to all employees again this year with a 93% awareness of the whistle-blowing system resulting from the awareness survey (up 9% from the previous fiscal year).

Ongoing Compliance Training

The OKI Group implements training sessions for compliance managers at seven sites in Japan for employees at senior manager level as regular training. Participants learn in these sessions, and roll out the gained knowledge in their business units. The deployment of such knowledge is checked through an e-learning program for all executive officers and employees of the Group. We have tools in place to promote learning and retention of program content such as sharing specific examples through the booklet called “Case Examples of Compliance” on the intranet.

Since fiscal year 2018, some overseas Group companies have started a unified e-learning compliance training program, the scope of which will be further expanded in fiscal year 2019.

Main Compliance Training Programs (for the OKI Group in Japan) in FY2018
Training sessions for compliance managers (implemented in July-August 2018)
Main themes: The importance of compliance, financial reporting laws, contract management, EU General Data Protection Regulation (GDPR)
The e-learning program (about on-the-job compliance)
(implemented in December 2018 to January 2019)
Anti-monopoly Act training for marketing&sales sections
(implemented in November 2018 to May 2019)

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