Other Breaches of the Financial Instruments & Exchange Act

Some regulations under the Financial Instruments and Exchange Act are complicated and require companies to use considerable care in order to properly comply with them, even though the purpose and meaning of the regulations are apparent.  Failure to exercise sufficient care can result in companies inadvertently violating the securities regulations.  For example, with regard to the regulations on the submission of Reports of Possession of Large Volume, companies need to consider various issues including the Holding Ratio of Share Certificates, and sometimes they fail to submit the report due to negligence or being unaware of their obligations.

Our knowledgeable attorneys advise clients on their obligations under the Financial Instruments and Exchange Act regulations, as well as on responding to alleged violations and conduct internal investigations.

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