Systems and Net Capital Ratio Risks Associated with the Expansion of the Securities Agency Business
First written in FY2016. 8 of 12 entries say "Restated". Latest entry: 2026-05-26.
The whole theme swung hardest in 2025: 4 of 14 companies on the "Worse" side.
2 other companies' latest entry also says "Reframed".
- FY2022RestatedAnnual report
「The financial instruments business operator must ensure that its capital adequacy ratio does not fall below 140%. The Commissioner of the Financial Services Agency may order the operator to change its business methods or take other measures if its capital adequacy ratio falls below 120%, and may order it to suspend operations for a period of up to 3 months if the ratio falls below 100%. If the ratio remains below 100% 3 months after the suspension order and the operator is deemed unlikely to restore it, the Commissioner may revoke the operator's registration.」
The thresholds for capital adequacy ratios of 140%, 120%, and 100%, and the associated risk of administrative measures, have been reaffirmed. - FY2019RestatedAnnual report
「The financial instruments business operator must ensure that its capital adequacy ratio does not fall below 140%. The Commissioner of the Financial Services Agency may order the operator to change its business methods or take other measures if its capital adequacy ratio falls below 120%, and may order it to suspend operations for a period of up to 3 months if the ratio falls below 100%.」
The thresholds for capital adequacy ratios of 140%, 120%, and 100%, and the associated risk of administrative measures, have been reaffirmed. - FY2019-Q1RestatedAnnual report
「We will continue to thoroughly strengthen risk management in the securities transfer agency business.」
The policy of continuing to strengthen risk management in response to system and regulatory risks associated with the expansion of the securities transfer agency business has been reaffirmed. - FY2018-Q3RestatedAnnual report
「We will continue to thoroughly strengthen risk management in the securities transfer agency business.」
The policy of continuing to strengthen risk management in response to system and regulatory risks associated with the expansion of the securities transfer agency business has been reaffirmed. - FY2018-Q2RestatedAnnual report
「We will continue to thoroughly strengthen risk management in the securities transfer agency business.」
The policy of continuing to strengthen risk management in the securities transfer agency business has been reaffirmed. - FY2017RestatedAnnual report
「The financial instruments business operator must ensure that its capital adequacy ratio does not fall below 140%. The Commissioner of the Financial Services Agency may order the operator to change its business methods or take other measures if its capital adequacy ratio falls below 120%, and may order it to suspend operations for a period of up to 3 months if the ratio falls below 100%.」
The thresholds for capital adequacy ratios of 140%, 120%, and 100%, and the associated risk of administrative measures, have been reaffirmed. - FY2017-Q3RestatedAnnual report
「We will continue to thoroughly strengthen risk management in the securities transfer agency business.」
The policy of continuing to strengthen risk management for the securities transfer agency business has been reaffirmed. - FY2017-Q2MitigatedAnnual report
「In July, the backup center opened in Toyama to strengthen backup capabilities became fully operational.」
The backup center in Toyama, which was scheduled to become fully operational when previously disclosed, has now commenced full operations, specifically strengthening business continuity for the securities transfer agency system. - FY2017-Q1MitigatedAnnual report
「We will continue to thoroughly strengthen risk management in the securities transfer agency business. To strengthen our backup capabilities, we opened a backup center in Toyama, which is scheduled to become fully operational this summer.」
A backup center was opened in Toyama to strengthen the backup capabilities for the securities transfer agency business, and its full operational launch has been scheduled. - FY2016First statedAnnual report
「As a financial instruments business operator following its entry into the securities transfer agency business, the consolidated subsidiary is required under the Financial Instruments and Exchange Act to maintain a capital adequacy ratio of at least 140%.」
The company plans to expand contracted operations and invest in system enhancements, and identifies depreciation expense, development delays, and delays in acquiring clients as risks.