• Home
  • About Us
  • Locations
  • Practices
  • Lawyers
  • Seminars
  • Publications
  • Careers

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

Main content starts here.

Advanced Financial Instruments and Exchange Act, 2nd Edition

Books

Author

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 

Publisher

Shojihomu Co., Ltd.

Language

Japanese

Practice Areas

Financial Regulations/Financial Compliance

Details

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

Index

Other Recent Publications : Financial Regulations/Financial Compliance

April, 2019

Newsletter

Amendments to Laws Regulating Crypto Currencies

NO&T Japan Legal Update No.17 (April, 2019)

Masayuki Fukuda, Hideaki Suda (co-author)

April, 2019

Others

Determining recoverable damages following material misstatements in securities registration statements

International Law Office Online Newsletter “Capital Markets-Japan”

Takashi Tsukioka 

October, 2018

Others

Application of fair disclosure rule to listed bonds

International Law Office Online Newsletter “Capital Markets-Japan”

Takashi Tsukioka