Tightening of Financial Regulations and Response to Violations of Laws and Regulations
First written in FY2016. 8 of 14 entries say "Restated". Latest entry: FY2026.
Traders Holdings moved to the "Worse" side of this theme in 2026.
The whole theme swung hardest in 2022: 2 of 7 companies on the "Worse" side.
0 other companies' latest entry also says "Worsened".
- FY2026WorsenedAnnual report
「Regulations have recently been strengthened amid calls for enhanced cybersecurity measures, including revisions to supervisory guidelines and other rules requiring the use of advanced authentication technologies.」
In addition to existing financial regulatory requirements, it identified revisions to supervisory guidelines and other rules requiring cybersecurity measures and advanced authentication technologies as new constraints on the business. - FY2023RestatedAnnual report
「If トレイダーズ証券 fails to comply with laws and regulations or other rules, the group could suffer a deterioration in performance due to a suspension of operations or a loss of credibility among customers, resulting in a deterioration in the performance of the group as a whole.」
It reconfirms the need to comply with the Financial Instruments and Exchange Act, the rules of self-regulatory organizations and crypto-asset regulations, as well as the risks of suspension of operations and loss of credibility in the event of violations. - FY2022WorsenedAnnual report
「In addition to its securities trading and FX trading businesses, トレイダーズ証券 completed its additional registration as an operator of over-the-counter crypto-asset derivatives trading as a First-Class Financial Instruments Business Operator and as a second-category member of the Japan Crypto-asset Exchange Association, and began offering crypto-asset margin trading services in January 2022.」
With the launch of crypto-asset margin trading, the scope of regulatory and self-regulatory compliance expanded beyond existing FX activities to include over-the-counter crypto-asset derivatives. - 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.」
It states that there have been no material additions or changes regarding stronger financial regulation and compliance with laws and regulations. - 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.」
It states that there have been no material additions or changes regarding stronger financial regulation and compliance with laws and regulations. - FY2020-Q3MitigatedAnnual report
「In the stress tests conducted by トレイダーズ証券 since 1 January 2020, the maximum expected loss, representing the aggregate of the respective risks, has not exceeded the amount of non-fixed capital, and no situation has arisen requiring additional measures to ensure the soundness of management.」
It disclosed that the stress tests conducted did not indicate any possibility that the previously disclosed maximum expected loss would exceed capital, and that no situation requiring additional measures had arisen. However, risks remain from future changes in the environment and stricter standards. - FY2020-Q1WorsenedAnnual report
「If its subsidiary トレイダーズ証券 conducts the stress tests currently specified, the maximum expected loss, which represents the aggregate of the respective risks, could exceed トレイダーズ証券's non-fixed capital, potentially necessitating additional measures to ensure the soundness of management described above.」
Following revisions to the Cabinet Office Ordinance on Financial Instruments Business and other regulations, stress testing became mandatory from 1 January 2020. It added as new financial regulatory risks the possibility that the maximum expected loss could exceed non-fixed capital and that additional measures, such as reducing leverage ratios, could become necessary. - FY2019-Q2Addition of Renewable Energy Regulatory RisksAnnual report
「In its renewable energy business, ZEエナジー is subject to various legal regulations concerning the construction of renewable energy generation facilities, including the Construction Business Act, Building Standards Act, National Land Use Planning Act, City Planning Act, and environmental and labor-related laws and regulations.」
In addition to existing financial regulatory risks relating to foreign exchange trading, it explicitly identifies the risk of compliance with construction, environmental and labor-related laws and regulations concerning ZEエナジー's construction of renewable energy facilities. - FY2018-Q3RestatedAnnual report
「During the cumulative third quarter of the fiscal year, there were no new business or other risks, nor any material changes to the business or other risks described in the annual securities report for the previous fiscal year.」
It states that there have been no material changes regarding stronger financial regulation and compliance with laws and regulations. - FY2018-Q2RestatedAnnual report
「During the six-month period ended 30 September, there were no new business risks and no material changes to the business risks described in the annual securities report for the previous fiscal year.」
It states that there have been no material changes regarding stronger financial regulation and compliance with laws and regulations. - FY2017-Q3RestatedAnnual report
「During the cumulative third quarter of the fiscal year, there were no new business or other risks, nor any material changes to the business or other risks described in the annual securities report for the previous fiscal year.」
Regarding stronger financial regulation and compliance with laws and regulations, the company states that there have been no material changes. - FY2017-Q2RestatedAnnual report
「During the six-month period ended 30 September, there were no new business risks and no material changes to the business risks described in the annual securities report for the previous fiscal year.」
Regarding stronger financial regulation and compliance with laws and regulations, the company states that there have been no material changes. - FY2017-Q1RestatedAnnual report
「During the cumulative first quarter of the fiscal year, there were no new business or other risks, nor any material changes to the business or other risks described in the annual securities report for the previous fiscal year.」
Regarding stronger financial regulation and compliance with laws and regulations, the company states that there have been no material changes. - FY2016First statedAnnual report
「Various regulations have been strengthened to protect customers in foreign exchange margin trading and over-the-counter binary options trading for individual investors.」
It indicates the risk that insufficient compliance with the Financial Instruments and Exchange Act and the rules of self-regulatory organizations could lead to loss of credibility, administrative sanctions and a decline in trading volume.