Risk of Legal Violations and Deregistration in Financial Instruments Business
First written in FY2018-Q2. 1 of 3 entries say "Restated". Latest entry: FY2024.
The whole theme swung hardest in 2020: 1 of 7 companies on the "Worse" side.
0 other companies' latest entry also says "Mitigated".
- FY2024MitigatedAnnual report
「In the Financial Services Business, effective 22 November 2023, EWJ's Type I Financial Instruments Business and investment management business under the Financial Instruments and Exchange Act were discontinued. In connection with the discontinuation of these businesses, its market-making and issuance businesses for covered warrants were also discontinued.」
The Type I Financial Instruments Business and investment management business subject to the risk of violations of financial instruments business laws and regulations and cancellation of registration were discontinued, narrowing the related scope of operations. - FY2018RestatedAnnual report
「If officers or employees of eワラント証券 violate these laws or regulations and an administrative sanction is imposed, such as cancellation of registration or an order to take measures necessary for improvement, the Group's business operations may be hindered, or its operating results and financial position may be affected.」
The risk of business effects from violations of the Financial Instruments and Exchange Act and other laws and regulations, cancellation of registration and administrative sanctions continues to be disclosed. - FY2018-Q2First statedAnnual report
「If officers or employees of the Company's consolidated subsidiaries violate these laws or regulations and an administrative sanction is imposed, such as cancellation of registration or an order to take measures necessary for improvement, the Group's business operations may be hindered, or its operating results and financial position may be affected.」
Following eワラント証券's registration as a financial instruments business operator, the risk of business effects from violations of the Financial Instruments and Exchange Act or the rules of the Japan Securities Dealers Association, cancellation of registration and administrative sanctions was newly disclosed.