Risk of Revocation of Financial Instruments Business Registration or Suspension of Operations
First written in FY2016. 5 of 8 entries say "Restated". Latest entry: FY2024.
The Imamura Securities moved to the "Worse" side of this theme in 2024.
The whole theme swung hardest in 2020: 1 of 7 companies on the "Worse" side.
0 other companies' latest entry also says "Reframed".
- FY2024ReframedAnnual report
「To conduct a financial instruments business, the company has been registered by the Prime Minister under the Financial Instruments and Exchange Act as a Type I Financial Instruments Business operator and for an Investment Advisory and Agency Business.」
The company describes the risk of cancellation of registration or suspension of business on the premise that its business structure includes registration for an Investment Advisory and Agency Business in addition to the existing Type I Financial Instruments Business. - FY2022RestatedAnnual report
「We operate with an emphasis on compliance with laws and regulations, and believe that the likelihood of circumstances leading to cancellation of our registration or other authorization is low. However, if, for any reason in the future, we are ordered to have our registration or other authorization cancelled, this could affect our business results, financial position and ability to continue as a going concern.」
The company continues to reiterate the risk of cancellation of registration or suspension of business due to administrative sanctions or other causes, while maintaining that the likelihood is low because of compliance with laws and regulations. - FY2021MitigatedAnnual report
「We operate with an emphasis on compliance with laws and regulations, and believe that the likelihood of circumstances leading to cancellation of our registration or other authorization is low. However, if, for any reason in the future, we are ordered to have our registration or other authorization cancelled, this could affect our business results, financial position and ability to continue as a going concern.」
The company reiterates the risk of cancellation of registration or suspension of business, while clearly stating that the likelihood is low because it operates with an emphasis on compliance with laws and regulations. - FY2020RestatedAnnual report
「As of the end of the fiscal year, we understand that there were no facts constituting administrative sanctions, such as business improvement orders or business suspension orders, due to violations of laws and regulations or other causes.」
The company reiterates the business continuity risk associated with cancellation of registration or suspension of business, while stating that, as of the end of the fiscal year, it understands there were no facts constituting administrative sanctions. - FY2019RestatedAnnual report
「As of the end of the fiscal year, we understand that there were no facts at the company constituting administrative sanctions, such as business improvement orders or business suspension orders, due to violations of laws and regulations or other causes. However, if, for any reason in the future, we are ordered to have our registration or other authorization cancelled, this could have a material impact on our business results, financial position and ability to continue as a going concern.」
The company states that it understands there have been no administrative sanctions, while reiterating the business continuity risk associated with cancellation of registration or other causes. - FY2018RestatedAnnual report
「As of the end of the fiscal year, we understand that there were no facts at the company constituting administrative sanctions, such as business improvement orders or business suspension orders, due to violations of laws and regulations or other causes. However, if, for any reason in the future, we are ordered to have our registration or other authorization cancelled, this could have a material impact on our business results, financial position and ability to continue as a going concern.」
The company states that it understands there have been no administrative sanctions, while reiterating the business continuity risk associated with cancellation of registration or other causes. - FY2017RestatedAnnual report
「As of the end of the fiscal year, we understand that there were no facts at the company constituting administrative sanctions, such as business improvement orders or business suspension orders, due to violations of laws and regulations or other causes. However, if, for any reason in the future, we are ordered to have our registration or other authorization cancelled, this could have a material impact on our business results, financial position and ability to continue as a going concern.」
The company reiterates the business continuity risk associated with cancellation of registration or suspension of business, while stating that, as of the end of the fiscal year, there were no facts constituting administrative sanctions. - FY2016First statedAnnual report
「If, for any reason in the future, we are ordered to have our registration or other authorization cancelled, this could have a material impact on our business results, financial position and ability to continue as a going concern.」
The company identifies cancellation of registration or suspension of business resulting from violations of laws and regulations or other causes as a risk concerning the basis for its main business.