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Compliance Structure

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Basic Compliance Policy

As the leading Japanese financial services group with a global presence and a broad customer base, we remain conscious of the importance of our social responsibilities and public mission at all times. We define compliance as "the strict observance of all laws and regulations and the pursuit of fair and honest corporate activities that conform to the norms accepted by society" and view ongoing compliance as one of the basic principles of sound business management.

Each of our group companies maintains its own compliance structure in line with the basic policies established by MHFG.

Compliance Structure

The chief executive officer of MHFG, MHBK, MHTB and MHSC each generally oversees compliance matters of the respective company, and the chief executive officer, etc. also head their respective Compliance Committees at which important matters concerning compliance are discussed. The four companies also have individual compliance divisions under a chief compliance officer. These divisions are responsible for compliance planning and implementation and control overall compliance management at the respective companies. At the level of each organizational unit (such as branches and divisions) at the four companies, the head of the unit is responsible for guidance and implementation related to compliance matters within such unit, and the compliance officer or the compliance administrator at each unit reviews the status of compliance.

MHFG has established the Internal Controls and Audit Hotline, a system designed for obtaining concerns regarding questionable accounting or auditing matters from in and outside the company.

Other core group companies have also established compliance structures adapted to the characteristics of their respective businesses.

MHFG monitors the status of compliance of the group through reports submitted by our core group companies and adopts appropriate responses when necessary.

Compliance at subsidiaries of our core group companies is monitored and managed by their respective parent.

Compliance Structure
Image: Compliance Structure

Compliance Activities

We have established the Mizuho Code of Conduct , which sets forth clear and concrete standards of ethical behavior, and distributed it to all directors, senior management and employees of the group so that they are well aware of its content and act accordingly.

Each of our group companies has also prepared a compliance manual, which serves as a practical guidebook for rigorous compliance enforcement and clarifies the laws and regulations that the group companies must observe in pursuing their business activities and the compliance activities they are required to follow.

We conduct compliance training for directors, senior management and employees so that they are fully acquainted with the contents of the manual. We monitor the status of compliance levels through self assessments conducted by individual organizational units and monitoring conducted by the compliance division of each company.

Every fiscal year, each of our group companies establishes a compliance program, which contains concrete measures for compliance enforcement such as measures related to the management of the compliance framework, training and assessments. Progress regarding the implementation of the compliance program is monitored every six months.

Internal Controls and Audit Hotline

A system designed for obtaining concerns regarding questionable accounting or auditing matters

Reporting Items

MHFG has established a hotline to receive reports from in and outside the company in connection with problems concerning internal controls and audits of accounts and financial reports.

Contact Point

This hotline has been established within an external law office. Please use conventional mail or e–mail for reporting.

Conventional mail

Tsukiji Mitsui Bldg., Tsukiji 4–7–1, Chuo–ku, Tokyo 104–0045
Mizuho Accounting Hotline, c/o Daiichi Fuyo Law Office

E–mail

kaikei-mizuho@daiichifuyo.gr.jp

  • When reported matters are within the scope of the reporting items, MHFG will do reasonable efforts to investigate the facts behind the information received and report back on the results.
  • Anonymous tips are also acceptable, but there are cases where it will not be possible to fully satisfy the intentions behind such tips owing to constraints on investigations and the inability to report back.
  • Information on persons making such reports is not disclosed to third parties other than the group companies except in cases where the assent of the person in question has been obtained or such disclosure is required under laws and ordinances, etc.

(As of Jul 1, 2013)

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