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Establishment of internal audit

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Establishment of internal audit

Situation of internal audit

We take the following measures to establish structures to verify and evaluate appropriateness and effectiveness of internal management structures, etc. including compliance and risk management:

  1. 1

    Setup of internal audit department

    We have set up an internal audit department which is independent from business execution departments to ensure sufficient supervising function (17 members of Audit Division ).

  2. 2

    Formulation and implementation of internal audit plans

    Internal audit plans are formulated and determined by the board of directors after discussion by Sumitomo Mitsui Trust Holdings and Sumitomo Mitsui Trust Bank, and the internal audit department audits each business execution department and points out issues to be improved, etc. and makes recommendation.

  3. 3

    Report of progress and result of implementation plans

    Results of internal audits, etc. and progress and achievement situations of internal audit plans are appropriately reported to the board of directors, Sumitomo Mitsui Trust Holdings and Sumitomo Mitsui Trust Bank on a timely basis.

  4. 4

    Information exchange and cooperation with accounting auditors

    The internal audit department exchanges information, etc. and cooperates with accounting auditors as necessary to ensure effective implementation of audits.

Structure of internal audit

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