Announced details
Securities operations and customer asset management
Customer of Tokai Tokyo Securities
Tokai Tokyo Securities Niigata Branch, Joto Branch Tokyo Sales Department, and Umeda Branch (detailed locations: Not disclosed)
The Company will compensate the full ¥101 million loss. Impact on earnings and materiality: Not disclosed
The company does not address Contract Value / Offering price.
| Item | Details |
|---|---|
| Counterparty | Affected customer (name not disclosed) |
| Relationship with the Company | Customer of Tokai Tokyo Securities |
| Contract Date | 18 September 2026 (compensation agreement reached through court mediation proceedings) |
| Applicable area | Securities operations and customer asset management |
| Location | Tokai Tokyo Securities Niigata Branch, Joto Branch Tokyo Sales Department, and Umeda Branch (detailed locations: Not disclosed) |
| Impact on Business Performance | The Company will compensate the full ¥101 million loss. Impact on earnings and materiality: Not disclosed |
Items this document does not state (12)
These are items the company does not state in this document. We do not leave them blank, nor fill them in from other sources or by inference.
The reasons the company gives
The company's own explanation, not something inferred from the numbers.The former employees received cash from customers without following the procedures prescribed by the Company and diverted the funds for personal use without reporting them to the Company. In response to the failure to prevent or detect the misconduct at an early stage, the Company determined that improvements were needed in the effectiveness of its internal control framework and in professional ethics.