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Home > Publications > Publications : 2014 > Advanced Financial Instruments and Exchange Act, 2nd Edition

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Advanced Financial Instruments and Exchange Act, 2nd Edition



Edited by Nagashima Ohno & Tsunematsu  
Hiroyuki Ishizuka, Kazuo Mizutani, Masaki Konishi, Shigeki Minami, Masatsura Kadota, Keiko Shimizu, Taku Umezawa, Kensuke Suzuki, Shinichi Araki, Atsushi Sakai, Atsushi Yamashita 


Shojihomu Co., Ltd.



Practice Areas

Financial Regulations/Financial Compliance


Table of Contents

Part I General Provisions
  Chapter 1 Purposes and Outlines of Revision of Financial Instruments and Exchange Act
  Chapter 2 Definition of Securities
  Chapter 3 Definition of Derivative Instruments

Part II Disclosure of Corporate Information, etc.
  Chapter 1 Disclosure in Primary Market
  Chapter 2 Disclosure in Secondary Market
  Chapter 3 Ensure the Effectiveness of Issuance and Distribution Disclosure
  Chapter 4 Procedures by Electronic Data Processing System for Disclosure
  Chapter 5 Proxy-Fight Regulations

Part III Disclosure of Tender Offer
  Chapter 1 Overview
  Chapter 2 Scope of Application for Tender Offer Regulations
  Chapter 3 Disclosure Regulations on Tender Offer
  Chapter 4 Substantive Regulations on Tender Offer
  Chapter 5 Ensuring Effectiveness of Tender Offer Regulations
  Chapter 6 Tender Offer for Share Certificates, etc. by Issuer

Part IV Disclosure of the Status of Large Volume Holding of Share Certificates, etc.
  Chapter 1 Overview of Disclosure of the Status of Large Volume Holding
  Chapter 2 Obligation to Submit Large Shareholding Report
  Chapter 3 Obligation to Submit Change Report
  Chapter 4 Disclosures in Change Report Pertaining to Report of Possession of Large Volume
  Chapter 5 Special Report
  Chapter 6 Delivery of Large Shareholding Reports and Public Inspection
  Chapter 7 Systems to Ensure Effectiveness of Disclosure by Large Shareholding Reports

Part V Regulations
  Chapter 1 Definition of Financial Instruments Business
  Chapter 2 Restrictions on Market Entrants of Financial Instruments Business
  Chapter 3 Scope of Work of Financial Instruments Business Operator “Regulations Governing Outside Work”
  Chapter 4 Registered Financial Institutions
  Chapter 5 Special Provisions for Foreign Business Operators
  Chapter 6 Fund Regulations
  Chapter 7 Sales Representative
  Chapter 8 Financial Instruments Intermediary Service Providers
  Chapter 9 Accounting
  Chapter 10 Special Provisions Concerning Special Financial Instruments Business Operators, etc.

Part VI Conduct Control Pertaining to Financial Instruments Business Operators etc.
  Chapter 1 Professional Investor System
  Chapter 2 Regulation on Advertisements, etc., of Financial Instruments Business Operators
  Chapter 3 Accountability
  Chapter 4 Various Prohibited Acts
  Chapter 5 Others
  Chapter 6 Special Provisions on Investment Advisory Business, Investment Management Business and Securities Management
  Chapter 7 Duty of Loyalty and Measures to Prevent Internal Collusion
  Chapter 8 Application Mutatis Mutandis of Banking Act, Insurance Business Act and Trust Business Act etc.
Part VII Credit Rating Agencies

Part VIII Financial Instruments Firms Associations
  Chapter 1 Financial Instruments Firms Associations
  Chapter 2 Certified Investor Protection Organization

Part IX Financial Instruments Exchange, Foreign Financial Instruments Exchange
  Chapter 1 Financial Instruments Exchange
  Chapter 2 Foreign Financial Instruments Exchange

Part X Financial Instruments Clearing Organization, etc. and Trade Repository, etc.

Part XI Securities Finance Company
Part XII Regulations on Transactions, etc. of Securities
  Chapter 1 Insider Trading Regulations
  Chapter 2 Market Manipulation Regulations
  Chapter 3 Other Unfair Trading Regulations

Part XIII Supervision of Financial Instruments Business and Investor Protection
  Chapter 1 Financial Services Agency and Securities and Exchange Surveillance Commission
  Chapter 2 Supervisory Dispositions, etc.
  Chapter 3 Monetary Penalty System
  Chapter 4 Investor Protection Fund


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