Japan Securities Finance (8511) · RiskScope of activities outside licensed business specified
Business Impact of Violations of Laws and Regulations and Regulatory Changes
First written in FY2017. 1 of 3 entries say "Restated". Latest entry: FY2021.
3entries
5years
0from disclosures
How it moved
Same theme, other companies
Compliance with Laws and Regulations Related to the Securities IndustryA theme 16 companies write about · 18 as a headwind · 0 as a tailwind
The whole theme swung hardest in 2022: 2 of 7 companies on the "Worse" side.
2 other companies' latest entry also says "Other".
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 16 companies compared. The sentences above are computed from all 16.Full recordFilings, disclosures and news, newest first
- FY2021Scope of activities outside licensed business specifiedAnnual report
「Under the Financial Instruments and Exchange Act, the scope of activities in which a securities finance company may operate outside its licensed securities lending business is restricted.」
In addition to general changes to laws and regulations, the disclosure specifically identified the restrictions on the scope of activities unique to securities finance companies and the risk of lost business opportunities if approval for new activities cannot be obtained. - FY2018RestatedAnnual report
「Changes to laws, regulations or other rules may affect the Company's business performance.」
Because the business is conducted under the securities finance company's licence and registration for registered financial institution activities, the Company continues to recognise the risk of changes to laws and regulations. - FY2017First statedAnnual report
「Changes to laws, regulations or other rules may affect the Company's business performance.」
Because the business is conducted under the securities finance company's licence and registration for registered financial institution activities, the Company recognises changes to laws and regulations as a risk. It also conducts compliance training and other measures.