List of Errata: Statement of Business and Assets [For the Term Ended March 31, 2012]
Correct
Incorrect
10. Trade name or company name of the designated dispute resolving organization
with whom a basic agreement on the procedure implementation will be concluded
and names of Financial Instruments Firms Associations of which the Company is a
member and Certified Investor Protection Organization to which the Company will
be subject (as of July 2, 2012)
10. The names of financial instruments dealers association and the authorized
organization for protection of investors, of which the Company is a member.
Trade name or company name of the designated dispute resolving organization
with whom a basic agreement on the procedure implementation will be concluded
FINMAC (Financial Instruments Mediation Assistance Center)
(Limited to the First Financial Instruments Business)
(A new item)
Participating Financial Instruments Dealers Associations
Japan Securities Dealers Association
General Incorporated Association Japan Investment Advisers Association
General Incorporated Association Financial Futures Association of Japan
Participating Financial Instruments Dealers Associations
Japan Securities Dealers Association
Japan Securities Investment Advisers Association
The Financial Futures Association of Japan
Participating Authorized Organizations for Protection of Investors
FINMAC (Financial Instruments Mediation Assistance Center)
(Limited to the Second Financial Instruments Business)
Participating Authorized Organizations for Protection of Investors
FINMAC (Financial Instruments Mediation Assistance Center)
(Limited to the second financial instruments business)
11. Omitted
11. Omitted
12. Omitted
12. Omitted
13. Out of the items set forth in Article 7, paragraph 3, item 3-(a) and paragraphs 4
through 9 of the Cabinet Office Ordinance on Financial Instruments Services, etc.,
those which are undertaken by the Company
Securities-Related Business
14. Details of complaint processing and dispute resolving measures related to business
(as of July 2, 2012)
The First Financial Instruments Business
The measure of concluding a basic agreement on the procedure implementation
with FINMAC (Financial Instruments Mediation Assistance Center
The Second Financial Instruments Business
The measure of using the General Incorporated Association Financial Futures
(Hereinafter, new items)
List of Errata: Statement of Business and Assets [For the Term Ended March 31, 2012]
Correct
Association of Japan (entrusted to FINMAC (Financial Instruments Mediation
Assistance Center) or the Non-Profit Organization, Financial Instruments
Mediation Assistance Center (limited to instances where specific use is
registered)
Investment Advisory and Agency Business
The measure of using the General Incorporated Association Japan Investment
Advisers Association (entrusted to FINMAC (Financial Instruments Mediation
Assistance Center)
Incorrect