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Ai Partners Financial (7345) · RiskRestated

Compliance Violations by IFAs and Officers and Employees

First written in FY2021. 3 of 4 entries say "Restated". Latest entry: FY2026.

4entries
6years
0from disclosures
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How it moved
ProgressHeldSoftenedWorseRestatedFY2021 – FY20262021: 120212022: 020222023: 120232024: 020242025: 120252026: 12026
Same theme, other companies
Regulatory compliance for financial services, including cards, banking, securities and insuranceA theme 34 companies write about · 38 as a headwind · 0 as a tailwind

The whole theme swung hardest in 2025: 2 of 10 companies on the "Worse" side.

24 other companies' latest entry also says "Restated".

Ridges = years it wrote progress, valleys = years it wrote worse. Most hopeful companies at the back. Drag to turn, scroll to zoom, right-drag to pan. On a phone, two fingers turn and pinch to zoom; one finger scrolls the page.
Showing 14 of the 34 companies compared. The sentences above are computed from all 34.
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  1. FY2026RestatedAnnual report

    「The Company continuously monitors IFA activities and works to prevent compliance violations. The service agreements between the Company and IFAs are fixed-term contracts with a term of 1 year. When renewing contracts, the Company determines whether to renew them after considering compliance awareness and the status of compliance with laws, regulations and other rules.」

    The Group continues its compliance measures through continuous monitoring of IFA activities, training and confirmation tests, and checks when contracts are renewed annually.
  2. FY2025RestatedAnnual report

    「The Company continuously monitors IFA activities and works to prevent compliance violations. The service agreements between the Company and IFAs are fixed-term contracts with a term of 1 year. When renewing contracts, the Company determines whether to renew them after considering compliance awareness and the status of compliance with laws, regulations and other rules.」

    The Group continues its compliance measures through continuous monitoring of IFA activities, training and confirmation tests, and checks when contracts are renewed annually.
  3. FY2023RestatedAnnual report

    「The Company continuously monitors IFA activities and works to prevent compliance violations. The service agreements between the Company and IFAs are fixed-term contracts with a term of 1 year. When renewing contracts, the Company determines whether to renew them after considering compliance awareness and the status of compliance with laws, regulations and other rules.」

    The Group continues its policy of preventing compliance violations by IFAs, officers and employees through training, monitoring and checks at contract renewal.
  4. FY2021First statedAnnual report

    「However, if cases of noncompliance arise because education, guidance and monitoring for IFAs, officers and employees do not function adequately, or because such education and guidance are disregarded, this may damage the Company's reputation or result in the Company being liable for damages, potentially affecting the Group's financial position and operating results.」

    The Group identifies training, confirmation tests, ongoing monitoring and checks when fixed-term contracts are renewed as countermeasures.
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Compliance Violations by IFAs and Officers and Employees | Ai Partners Financial Inc. (7345) | Komori