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-1- June 20, 2025 TSE Imposes Disciplinary Action Against Tachibana Securities Co., Ltd. Tokyo Stock Exchange, Inc. (TSE) has taken disciplinary action against Tachibana Securities Co., Ltd. (hereinafter "the Company") pursuant to the provisions of Rule 34, Paragraph 1, Item (9) of the Trading Participant Regulations, as indicated below, and has requested the Company to submit a business improvement report pursuant to the provisions of Rule 19, Paragraph 1, Item (1) of the same Regulations. The above measures were determined based on the results of the deliberations by Japan Exchange Regulation. 1. Disciplinary Action ûCensure 2. Reason The Company proclaims itself to be a "company specializing in stocks" for a wide range of investors and engages in sales at a total of 11 branch offices, primarily through face-to-face sales of domestic stocks by sales representatives. Upon reviewing the solicitation of domestic stocks to elderly customers (75 years ...
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-1- June 20, 2025 OSE Imposes Disciplinary Action Against Tachibana Securities Co., Ltd. Osaka Exchange, Inc. (OSE) has taken disciplinary action against Tachibana Securities Co., Ltd. (hereinafter "the Company") pursuant to the provisions of Rule 42, Paragraph 1, Item (11) of the Trading Participant Regulations, as indicated below, and has requested the Company to submit a business improvement report pursuant to the provisions of Rule 17, Paragraph 1, Item (1) of the same Regulations. The above measures were determined based on the results of the deliberations by Japan Exchange Regulation. 1. Disciplinary Action ûCensure 2. Reason The Company proclaims itself to be a "company specializing in stocks" for a wide range of investors and engages in sales at a total of 11 branch offices, primarily through face-to-face sales of domestic stocks by sales representatives. Upon reviewing the solicitation of domestic stocks to elderly customers (75 years of ...
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(Reference Translation) September 28, 2023 TSE Imposes Disciplinary Actions against Chibagin Securities Co., Ltd. Tokyo Stock Exchange, Inc. (TSE) has taken disciplinary action against Chibagin Securities Co., Ltd. (hereinafter "the Company"), as indicated below, pursuant to the provisions of Rule 34, Paragraph 1, Item (8) of the Trading Participant Regulations and has requested the Company to submit a business improvement report pursuant to the provisions of Rule 19, Paragraph 1, Item (1) of the same Regulations. The above measures were determined based on the results of the deliberations by Japan Exchange Regulation. 1. Disciplinary Action ûCensure 2. Reason The Company has concluded business cooperation contracts for financial instruments intermediary services (hereinafter referred to "Intermediary Contracts") with its parent company The Chiba Bank, Ltd. (hereinafter "Chiba Bank") and The Musashino Bank, Ltd., which has an alliance agreement with Chiba Bank, allowing these banks to introduce their customers to the Company....
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ÿReference Translationÿ September 28, 2023 OSE Imposes Disciplinary Actions against Chibagin Securities Co., Ltd. Osaka Exchange, Inc. (OSE) has taken disciplinary action against Chibagin Securities Co., Ltd. (hereinafter "the Company"), as indicated below, pursuant to the provisions of Rule 42, Paragraph 1, Item (10) of the Trading Participant Regulations and has requested the Company to submit a business improvement report pursuant to the provisions of Rule 17, Paragraph 1, Item (1) of the same Regulations. The above measures were determined based on the results of the deliberations by Japan Exchange Regulation. 1. Disciplinary Action ûCensure 2. Reason The Company has concluded business cooperation contracts for financial instruments intermediary services (hereinafter referred to "Intermediary Contracts") with its parent company The Chiba Bank, Ltd. (hereinafter "Chiba Bank") and The Musashino Bank, Ltd., which has an alliance agreement with Chiba Bank, allowing these banks to introduce their customers to the Company. As the ...
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1 / 3 Detailed Rules for Examination of Details of Transactions on the Commodity Market DISCLAIMER: This English translation is being provided for informational purposes only and represents a desire by the Exchange to promote better understanding of the Exchange by non-resident participants. While care has been taken to ensure that the translation is accurate and complete, Tokyo Commodity Exchange, Inc. accepts no liability or responsibility for any loss or damages, including trading losses, that may be incurred from any inaccuracy or omission in the English translation. In the event of discrepancies between the English version and the original Japanese version, the Japanese version shall prevail. Any dispute that may arise within or without a court of law with regard to the meaning of the words, provisions and stipulations of the rules, regulations and agreements shall be resolved in accordance with the Japanese texts. (Detailed Rules for Examination of Details ...
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1 / 3 Guidelines Related to Requirements of Investment Trusts DISCLAIMER: This English translation is being provided for informational purposes only and represents a desire by the Exchange to promote better understanding of the Exchange by non-resident participants. While care has been taken to ensure that the translation is accurate and complete, Tokyo Commodity Exchange, Inc. accepts no liability or responsibility for any loss or damages, including trading losses, that may be incurred from any inaccuracy or omission in the English translation. In the event of discrepancies between the English version and the original Japanese version, the Japanese version shall prevail. Any dispute that may arise within or without a court of law with regard to the meaning of the words, provisions and stipulations of the rules, regulations and agreements shall be resolved in accordance with the Japanese texts. (Guidelines Related to Requirements of Investment Trusts as of July 27, ...
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1 / 4 Handling Procedure for Discount or Rebate of Membership Fees DISCLAIMER: This English translation is being provided for informational purposes only and represents a desire by the Exchange to promote better understanding of the Exchange by non-resident participants. While care has been taken to ensure that the translation is accurate and complete, Tokyo Commodity Exchange, Inc. accepts no liability or responsibility for any loss or damages, including trading losses, that may be incurred from any inaccuracy or omission in the English translation. In the event of discrepancies between the English version and the original Japanese version, the Japanese version shall prevail. Any dispute that may arise within or without a court of law with regard to the meaning of the words, provisions and stipulations of the rules, regulations and agreements shall be resolved in accordance with the Japanese texts. (Handling Procedure for Discount or Rebate of Membership Fees ...
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1 / 3 Procedure Related to Energy Market and Chukyo-Oil Market Same Delivery Goods Delivery DISCLAIMER: This English translation is being provided for informational purposes only and represents a desire by the Exchange to promote better understanding of the Exchange by non-resident participants. While care has been taken to ensure that the translation is accurate and complete, Tokyo Commodity Exchange, Inc. accepts no liability or responsibility for any loss or damages, including trading losses, that may be incurred from any inaccuracy or omission in the English translation. In the event of discrepancies between the English version and the original Japanese version, the Japanese version shall prevail. Any dispute that may arise within or without a court of law with regard to the meaning of the words, provisions and stipulations of the rules, regulations and agreements shall be resolved in accordance with the Japanese texts. (Procedure Related to Energy Market ...
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1 / 2 Procedure for Entrustment of Affairs Concerning Guarantee Funds and Member Security Deposits DISCLAIMER: This English translation is being provided for informational purposes only and represents a desire by the Exchange to promote better understanding of the Exchange by non-resident participants. While care has been taken to ensure that the translation is accurate and complete, Tokyo Commodity Exchange, Inc. accepts no liability or responsibility for any loss or damages, including trading losses, that may be incurred from any inaccuracy or omission in the English translation. In the event of discrepancies between the English version and the original Japanese version, the Japanese version shall prevail. Any dispute that may arise within or without a court of law with regard to the meaning of the words, provisions and stipulations of the rules, regulations and agreements shall be resolved in accordance with the Japanese texts. (Procedure for Entrustment of Affairs Concerning ...
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(Provisional Reference Translation) DISCLAIMER: This translation may be used for reference purposes only. This English version is not an official translation of the original Japanese document. In cases where any differences occur between the English version and the original Japanese version, the Japanese version shall prevail. This translation is subject to change without notice. Japan Exchange Regulation, Tokyo Stock Exchange, Inc., Osaka Exchange, Inc., Japan Exchange Group, Inc., and/or their affiliates shall individually or jointly accept no responsibility or liability for damage or loss caused by any error, inaccuracy, misunderstanding, or changes with regard to this translation. 1 Enforcement Rules for the Business Regulations (as of July 16, 2013) Japan Exchange Regulation Chapter 1 Purpose Rule 1. Purpose These Rules prescribe matters decided by Japan Exchange Regulation (hereinafter referred to as "JPX-R") in accordance with the Business Regulations (hereinafter referred to as the "Regulations"). Chapter 2 Inspection...
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