Administrative Sanctions and Other Actions Arising from Violations of Laws and Regulations
First written in FY2016. 3 of 8 entries say "Restated". Latest entry: FY2025.
The whole theme swung hardest in 2026: 4 of 13 companies on the "Worse" side.
8 other companies' latest entry also says "Mitigated".
- FY2025MitigatedAnnual report
「Our group also appropriately manages transactions that could give rise to conflicts of interest so that customers' interests are not unfairly harmed. Specifically, in March 2023 we established and published the IR Japan Group Conflict of Interest Management Policy, and our consolidated subsidiary アイ・アールジャパン has established Conflict of Interest Management Rules.」
As measures addressing legal and compliance risks, the establishment and publication of a conflict-of-interest management policy and the development of rules at the subsidiary are specifically described. - FY2024MitigatedAnnual report
「In addition, in July 2023 we established the Group Compliance Office to strengthen the compliance function and are working to further reinforce our management and oversight structure.」
While the former officer's violation of laws and regulations is described, the establishment of the Group Compliance Office has strengthened measures to prevent insider trading and other misconduct before it occurs, as well as group-wide oversight. - FY2024-Q2MaterialisedAnnual report
「A former officer of our company had been indicted by the Tokyo District Public Prosecutors Office on 7 June 2023 on charges of violating the Financial Instruments and Exchange Act (insider trading regulations). On 5 October 2023, the former officer was found guilty and sentenced to 1 year and 6 months' imprisonment, suspended for 3 years.」
The matter progressed from the former officer's arrest and indictment through the previous fiscal year to a conviction on charges of violating the Financial Instruments and Exchange Act. - FY2024-Q1MaterialisedAnnual report
「On 18 May 2023, a former officer of our company was arrested by the Tokyo District Public Prosecutors Office on suspicion of violating the Financial Instruments and Exchange Act (insider trading regulations), and was indicted on 7 June 2023.」
It is stated that a former officer was arrested and indicted in connection with suspected violations of laws and regulations. The filing does not state that a conviction had been finalised or that administrative sanctions had been imposed. - FY2022RestatedAnnual report
「We are working to strengthen our compliance framework to ensure compliance with laws and other applicable rules and regulations, providing appropriate instructions and guidance to officers and employees and implementing preventive measures to prevent and detect misconduct.」
The risk of administrative sanctions and other consequences resulting from violations of laws and regulations, and the response through the compliance framework and preventive measures, have been reaffirmed. - FY2019RestatedAnnual report
「We are working to strengthen our compliance framework to ensure compliance with laws and other applicable rules and regulations, providing appropriate instructions and guidance to officers and employees and implementing preventive measures to prevent and detect misconduct. However, if officers or employees fail to comply with laws or other applicable rules and regulations, they may be subject to administrative sanctions or penalties, or have restrictions imposed on their business activities, potentially affecting our group's operating results and financial position.」
The risk of administrative sanctions and other consequences resulting from violations of laws and regulations, and the response through the compliance framework and preventive measures, have been reaffirmed. - FY2017RestatedAnnual report
「We are working to strengthen our compliance framework to ensure compliance with laws and other applicable rules and regulations, providing appropriate instructions and guidance to officers and employees and implementing preventive measures to prevent and detect misconduct.」
The risk of administrative sanctions and other consequences resulting from violations of laws and regulations, and the response through the compliance framework and preventive measures, have been reaffirmed. - FY2016First statedAnnual report
「However, if officers or employees fail to comply with laws or other applicable rules and regulations, they may be subject to administrative sanctions or penalties, or have restrictions imposed on their business activities, potentially affecting our group's operating results and financial position.」
The strengthening of the compliance framework, instructions and guidance for officers and employees, and measures to prevent misconduct are described.