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- 1 - Revisions to the Rules for Securities on Alert in Order to Improve the Effectiveness of Listed Companies' Improvements to Their Internal Management Systems October 26, 2023 Tokyo Stock Exchange, Inc. I. Objective In 2007, Tokyo Stock Exchange, Inc. (TSE) introduced the Rules for Securities on Alert in order to encourage companies that have committed serious violations of TSE’s Listing Rules to improve their internal management systems. TSE then made some revisions in 2013 that included shortening the designated period for companies to make such improvements, in order to encourage them to do so more promptly. An examination of the status of the securities designated as Securities on Alert after the 2013 revisions shows a tendency for companies to complete improvements to their internal management systems more promptly than before the revisions. However, there have been some cases where it came time to conduct the first-year examination ...

- 1 - Revisions to the Rules for Securities on Alert in Order to Improve the Effectiveness of Listed Companies' Improvements to Their Internal Management Systems October 26, 2023 Tokyo Stock Exchange, Inc. I. Objective In 2007, Tokyo Stock Exchange, Inc. (TSE) introduced the Rules for Securities on Alert in order to encourage companies that have committed serious violations of TSE’s Listing Rules to improve their internal management systems. TSE then made some revisions in 2013 that included shortening the designated period for companies to make such improvements, in order to encourage them to do so more promptly. An examination of the status of the securities designated as Securities on Alert after the 2013 revisions shows a tendency for companies to complete improvements to their internal management systems more promptly than before the revisions. However, there have been some cases where it came time to conduct the first-year examination ...

Tokyo Stock Exchange, Inc. (Reference Translation) Mar. 5, 2024 Listing Department Tokyo Stock Exchange, Inc. Request for Improvement Report and Public Announcement Measure TSE has requested an Improvement Report and taken the Public Announcement Measure as follows. * This decision is based on the results of the examination by Japan Exchange Regulation. 1. Company Name ImageONE Co.,Ltd. (Code: 2667, Market Segment: Standard Market) 2. Improvement Report Submission Deadline Mar. 19, 2024 (Tue.) Reason (Related Clause) Due to disclosed information containing false statements, the company breaching the listing rules, and improvements being deemed highly necessary (Securities Listing Regulations, Rule 504, Paragraph 1, Item (1)) 3. Date of Public Announcement Measure Mar. 5, 2024 (Tue.) Reason (Related Clause) Due to disclosed information containing false statements and public announcement that the company breached the listing rules being deemed necessary (Securities Listing Regulations, Rule 508, Paragraph 1, Item (1)) 4. Details of Reason On ...

Tokyo Stock Exchange, Inc. (Reference Translation) Mar. 29, 2024 Listing Department Tokyo Stock Exchange, Inc. Request for Improvement Report and Imposition of Listing Agreement Violation Penalty TSE has requested an Improvement Report and imposed a listing agreement violation penalty as follows. * This decision is based on the results of the examination by Japan Exchange Regulation. 1. Issue Name GOODSPEED.CO.,LTD. stock (Code: 7676, Market Segment: Growth Market) 2. Improvement Report Submission Deadline Apr. 26, 2024 (Fri.) Reason (Related Clause) Due to disclosed information containing false statements, the company breaching the listing rules, and improvements being deemed highly necessary (Securities Listing Regulations, Rule 504, Paragraph 1, Item (1)) 3. Listing Agreement Violation Penalty Total JPY 9.6 million Reason (Related Clause) Due to falling under a case where TSE deems that the listed company has violated the matters in the written oath pertaining to an initial listing application and has...

Tokyo Stock Exchange, Inc. (Reference Translation) May 17, 2024 Listing Department Tokyo Stock Exchange, Inc. Request for Improvement Report and Public Announcement Measure TSE has requested an Improvement Report and taken the Public Announcement Measure as follows. * This decision is based on the results of the examination by Japan Exchange Regulation. 1. Company Name TOKYO SANGYO CO.,LTD. (Code: 8070, Market Segment: Prime Market) 2. Improvement Report Submission Deadline Jun. 14, 2024(Fri.) Reason (Related Clause) Due to disclosed information containing false statements, the company breaching the listing rules, and improvements being deemed highly necessary (Securities Listing Regulations, Rule 504, Paragraph 1, Item (1)) 3. Date of Public Announcement Measure May 17, 2024 (Fri.) Reason (Related Clause) Due to disclosed information containing false statements and public announcement that the company breached the listing rules being deemed necessary (Securities Listing Regulations, Rule 508, Paragraph 1, Item (1)) 4. Details of Reason...

Tokyo Stock Exchange, Inc. (Reference Translation) Jul. 2, 2024 Listing Department Tokyo Stock Exchange, Inc. Request for Improvement Report and Public Announcement Measure TSE has requested an Improvement Report and taken the Public Announcement Measure as follows. * This decision is based on the results of the examination by Japan Exchange Regulation. 1. Company Name LUCKLAND CO.,LTD. (Code: 9612, Market Segment: Prime Market) 2. Improvement Report Submission Deadline Jul. 31, 2024(Wed.) Reason (Related Clause) Due to disclosed information containing false statements and improvements being deemed highly necessary (Securities Listing Regulations, Rule 504, Paragraph 1, Item (1)) 3. Date of Public Announcement Measure Jul. 2, 2024 (Tue.) Reason (Related Clause) Due to disclosed information containing false statements and public announcement being deemed necessary (Securities Listing Regulations, Rule 508, Paragraph 1, Item (1)) 4. Details of Reason LUCKLAND CO.,LTD. (hereinafter "the Company") disclosed an investigation report of the special investigation ...

Tokyo Stock Exchange, Inc. (Reference Translation) Aug. 23, 2024 Listing Department Tokyo Stock Exchange, Inc. Request for Improvement Report and Public Announcement Measure TSE has requested an Improvement Report and taken the Public Announcement Measure as follows. * This decision is based on the results of the examination by Japan Exchange Regulation. 1. Company Name ENECHANGE Ltd. (Code: 4169, Market Segment: Growth Market) 2. Improvement Report Submission Deadline Sep. 24, 2024 (Tue.) Reason (Related Clause) Due to disclosed information containing false statements and improvements being deemed highly necessary (Securities Listing Regulations, Rule 504, Paragraph 1, Item (1)) 3. Date of Public Announcement Measure Aug. 23, 2024 (Fri.) Reason (Related Clause) Due to disclosed information containing false statements and public announcement being deemed necessary (Securities Listing Regulations, Rule 508, Paragraph 1, Item (1)) 4. Details of Reason ENECHANGE Ltd. (hereinafter“the Company”) disclosed an investigation report of an external investigation committee concerning ...

Tokyo Stock Exchange, Inc. (Reference Translation) Nov. 21, 2024 Listing Department Tokyo Stock Exchange, Inc. Request for Improvement Report and Public Announcement Measure TSE has requested an Improvement Report and taken the Public Announcement Measure as follows. * This decision is based on the results of the examination by Japan Exchange Regulation. 1. Company Name SHINWA WISE HOLDINGS CO.,LTD. (Code: 2437, Market Segment: Standard Market) 2. Improvement Report Submission Deadline Dec. 19, 2024 (Thu.) Reason (Related Clause) Due to disclosed information containing false statements and improvements being deemed highly necessary (Securities Listing Regulations, Rule 504, Paragraph 1, Item (1)) 3. Date of Public Announcement Measure Nov. 21, 2024 (Thu.) Reason (Related Clause) Due to disclosed information containing false statements and public announcement being deemed necessary (Securities Listing Regulations, Rule 508, Paragraph 1, Item (1)) 4. Details of Reason SHINWA WISE HOLDINGS CO.,LTD. (hereinafter "the Company") disclosed an investigation report ...

Tokyo Stock Exchange, Inc. (Reference Translation) Nov. 22, 2024 Listing Department Tokyo Stock Exchange, Inc. Request for Improvement Report and Public Announcement Measure TSE has requested an Improvement Report and taken the Public Announcement Measure as follows. * This decision is based on the results of the examination by Japan Exchange Regulation. 1. Company Name FINE SINTER CO.,LTD. (Code: 5994, Market Segment: Standard Market) 2. Improvement Report Submission Deadline Dec. 20, 2024 (Fri.) Reason (Related Clause) Due to disclosed information containing false statements and improvements being deemed highly necessary (Securities Listing Regulations, Rule 504, Paragraph 1, Item (1)) 3. Date of Public Announcement Measure Nov. 22, 2024 (Fri.) Reason (Related Clause) Due to disclosed information containing false statements and public announcement being deemed necessary (Securities Listing Regulations, Rule 508, Paragraph 1, Item (1)) 4. Details of Reason FINE SINTER CO.,LTD. (hereinafter "the Company") disclosed an investigation report of the ...

Tokyo Stock Exchange, Inc. (Reference Translation) Mar. 31, 2021 Listing Department Tokyo Stock Exchange, Inc. Request for Improvement Report and Public Announcement Measure TSE has requested an Improvement Report and taken the Public Announcement Measure as follows. *This decision is based on the results of the examination by Japan Exchange Regulation. 1. Company Name Hiramatsu Inc. (Code: 2764, Market Division: 1st Section) 2. Improvement Report Submission Deadline Apr. 14, 2021 (Wed.) Provision Securities Listing Regulations, Rule 502, Paragraph 1, Item (1) (Due to disclosed information containing false statements and improvements being deemed highly necessary) 3. Date of Public Announcement Measure Mar. 31, 2021 (Wed.) Provision Securities Listing Regulations, Rule 508, Paragraph 1, Item (1) (Due to disclosed information containing false statements and public announcement being deemed necessary) 4. Reason Hiramatsu Inc. (hereinafter "the Company") disclosed an investigation report of the external investigation committee on Dec. 28, 2020 concerning inappropriate accounting ...