닫기
216.73.216.214
216.73.216.214
close menu
KCI 등재
이사의 내부통제제도 구축의무와 법적 책임 -일본 판례법상의 전개를 중심으로-
An Analysis of Internal Control Liabilities in Japanese Cases
김영주 ( Young Ju Kim )
상사판례연구 26권 4호 235-310(76pages)
UCI I410-ECN-0102-2014-300-001631396

This paper examines responsibilities for a company`s internal controls in Japanese Cases. Generally, internal control system is defined as a process affected by an organization`s structure, work and authority flows, people and management information systems, designed to help the organization accomplish specific goals or objectives. It is a means by which an organization`s resources are directed, monitored, and measured. It plays an important role in detecting and preventing fraud and protecting the organization`s resources, both physical and intangible. Management is accountable to the board of directors, which provides governance, guidance and oversight. Effective board members are objective, capable and inquisitive. They also have a knowledge of the entity`s activities and environment, and commit the time necessary to fulfill their board responsibilities. Management may be in a position to override controls and ignore or stifle communications from subordinates, enabling a dishonest management which intentionally misrepresents results to cover its tracks. A strong, active board, particularly when coupled with effective upward communications channels and capable financial, legal and internal audit functions, is often best able to identify and correct such a problem. In the decision of Osaka District Court (Daiwa bank case), the Court found that the directors of Daiwa bank had a duty to establish a proper risk management system. Japan forged new legal regime for internal control systems in Japanese Corporation Code. Also, the number of cases developed about company`s internal control liability with Daiwa bank case. This paper provides a historical overview of the courts` application of the internal control systems. Also, it looks at how the Japanese courts have attempted to apply laws for specific cases.

[자료제공 : 네이버학술정보]
×