Expansion of the Scope of Services Handled by a Type I Financial Instruments Business Operator
First written in FY2020-Q1. 2 of 5 entries say "Advanced", first in FY2020-Q2. Latest entry: FY2024.
No other company in this theme has enough history to compare yet.
- FY2024Further change to the scope of services covered by the Type I Financial Instruments BusinessAnnual report
「November 2023: Registration change for a Type I Financial Instruments Business operator, changing the business to only the services stipulated in Article 2, paragraph 8, item 17 of the Financial Instruments and Exchange Act」
Following the expansion of the scope of services in 2019, a registration change was made in November 2023, changing the services covered to only those stipulated in Article 2, paragraph 8, item 17. - FY2022RestatedAnnual report
「We have established a structure for providing comprehensive financial solutions, including private placement services supporting third-party allotments by listed companies and J-Adviser services supporting the listing of unlisted companies on the TOKYO PRO Market.」
Following the expansion of the scope of the Type I Financial Instruments Business, financial solutions including support for third-party allotments and J-Adviser services have continued. - FY2020-Q3AdvancedAnnual report
「As the first transaction in our placement agent business, we completed all services supporting Fukushima Bank Co., Ltd., as its financial adviser, in connection with a third-party allotment of shares to SBI Holdings, Inc. and a capital and business alliance agreement. This enhanced our reputation as a financial adviser capable of executing specific financing transactions outside the securities company sector.」
The first transaction in the placement agent business was completed, delivering financing through a third-party allotment and a capital and business alliance. - FY2020-Q2AdvancedAnnual report
「In addition, regarding the placement agent business licensed by the Financial Services Agency, the pipeline of capital and business alliances related to M&A and flexible financing transactions has been steadily increasing.」
As related businesses following the expansion of the scope of the Type I Financial Instruments Business, the pipeline of capital and business alliances and flexible financing transactions in the placement agent business increased. - FY2020-Q1First statedAnnual report
「In our investment banking services, we completed a registration change for the Type I Financial Instruments Business on 14 June 2019 to expand the scope of services covered. As a result of this registration change, we became able to handle “the solicitation of offers for the acquisition or sale of securities, or the handling of private placements or offers to sell to specified investors,” as stipulated in Article 2, paragraph 8, item 9 of the Financial Instruments and Exchange Act, as well as “intermediation in the purchase and sale of securities,” as stipulated in Article 2, paragraph 8, item 2 of the Act.」
It is stated that, on 14 June 2019, the Company completed a registration change to expand the scope of services covered by its Type I Financial Instruments Business and became able to handle offerings and sales of securities and act as an intermediary in securities transactions.