Compliance with the Act on Prevention of Transfer of Criminal Proceeds
First written in FY2017. 2 of 3 entries say "Restated". Latest entry: FY2022-Q3.
The whole theme swung hardest in 2024: 4 of 23 companies on the "Worse" side.
18 other companies' latest entry also says "Restated".
- FY2022-Q3RestatedAnnual report
「During the consolidated cumulative third quarter period under review, there were no material additions or changes to the business and other risks described in the annual securities report for the previous fiscal year.」
The company stated that there were no material additions or changes regarding compliance with the Act on Prevention of Transfer of Criminal Proceeds. - FY2021-Q3RestatedAnnual report
「During the consolidated cumulative third quarter period under review, there were no material additions or changes to the business and other risks described in the annual securities report for the previous fiscal year.」
The company stated that there were no material additions or changes regarding compliance with the Act on Prevention of Transfer of Criminal Proceeds. - FY2017First statedAnnual report
「However, if トレイダーズ証券's business practices are found not to comply with the Act, it may be subject to administrative sanctions or other measures by financial supervisory authorities, which could have a material effect on the group's reputation, operating results and financial position.」
The company separately describes the risk of deficiencies in legal compliance relating to customer identification, retention of transaction records, reporting of suspicious transactions and other requirements.