Inappropriate Conduct by Financial Instruments Intermediaries and Supervisory Responsibility
First written in FY2017. 2 of 3 entries say "Restated". Latest entry: FY2022-Q3.
2 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 improper conduct by financial instruments intermediaries and supervisory responsibility. - 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 improper conduct by financial instruments intermediaries and supervisory responsibility. - FY2017First statedAnnual report
「If a financial instruments intermediary engages in improper solicitation or other misconduct, the group may face claims for damages from customers or administrative sanctions from supervisory authorities, which could adversely affect its business and operating results.」
The company discloses the risks of claims for damages and administrative sanctions if the management and supervision of financial instruments intermediaries are inadequate.