Risk & Compliance
Ascendant's risk and compliance team supports risk management, builds internal controls for US - SOX and J - SOX, etc., depending on the needs of the client's company. We also strives to protect our clients from violating laws controlled by the regulatory authority, losing the publics' trust and tarnishing the client's name. Furthermore, Ascendant supports and creates documentation when submitting to the regulatory authorities or when incorporating a company, etc.
| Needs of the client company |
Ascendant's Solutions |
| Evaluate business risks and develop ideas for improvement |
Evaluate business risks and develop ideas for improvement
- Assess risks in the organization; draw up a plan to reduce, adjust and manage these risks
- Financial statements, budget, forecasts and internal control policies are reviewed for confirmation and proper evaluation
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| IT infrastructure, optimization, auditing security |
Designing IT systems, security and audit
- System development via gap analysis and system design
- To avoid system breakdown, the IT system is audited for efficiency
- IT framework will be audited for security. Furthermore, the reliability, integrity and probability of the data, will be audited
- An IT application will be customized and developed
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| Structuring, maintaining and assessing internal controls as well as assisting clients to acquire various qualifications or certificates from appropriate institutions |
Readiness program
- To prepare for US SOX 404 and J-SOX, will support with the implementation of internal controls
- Complying with Basel II, identifying operational risks, classifying and recommending provisions
- Establishing internal control systems which can pass J-FSA (Japanese Financial Services Agency) inspections
- Acquiring P-Mark (private mark) and ISMS (information securities and management system) qualification
- Outsourcing / Co-sourcing internal auditing
- Maintaining company regulations
- Internal control building support for an IPO
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| Making adjustments that comply with the local Government and regulatory authority |
Management application
- Provide regulatory agency related applications and translation services to the Legal Affairs Bureau and Immigration Bureau
- The creation of documents and applications is carried out through our network of licensed specialists
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| Incorporation and continuous management |
Incorporation and preparations
- Adjustments and translation services regarding Business Corporation (KK), Limited Liability Company (LLC), Limited Company (LTD) and other branch and corporate formations
- Handling business settlements
- Documententation of development and arrangements is carried out through our network of licensed specialists
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