FAQ on Financial Instruments and Exchange Act
What is the chapter structure of the Financial Instruments and Exchange Act (FIEA)?
The chapter structure of the FIEA is as follows.
Disclosure of Corporate Affairs and Other Related Matters
Disclosure Required for Tender Offer
Disclosure of Status of Large Volume Holding of Share Certificates, etc.
Special Provisions, etc. for Procedures by Use of Electronic Data Processing System for Disclosure
Provision or Publication of Specified Information on Securities, etc.
Financial Instruments Business Operators, etc.
Financial Instruments Intermediary Service Providers
Credit Rating Agencies
Financial Instruments Firms Association (Authorized Financial Instruments Firms Association, Public Interest Corporation-Type Financial Instruments Firms Associations, Certified Investor Protection Organization)
Investor Protection Fund
Financial Instruments Exchange
Foreign Financial Instruments Exchange
Financial Instruments Clearing Organization, etc.
Securities Finance Company
Regulations on Transactions, etc. of Securities
Administrative Monetary Penalty
Investigation into a Criminal Case, etc.
What is the structure of the purpose provisions (Article 1) of the FIEA?
The structure of the purpose provisions of the FIEA is as follows (Article 1 of the FIEA).
(1)Measures for achieving the purposes
–Develop systems for disclosure of corporate affairs and other related matters
–Provide for necessary matters relating to persons who engage in Financial Instruments Business
–Secure appropriate operation of Financial Instruments Exchanges, etc.
–Ensure fairness in issuance of the Securities and transactions of Financial Instruments, etc.
–Facilitate the smooth distribution of Securities
–Aim at fair price formation of Financial Instruments, etc. through the full utilization of functions of the capital market
–Contribute to the sound development of the national economy
–Contribute to the protection of investors
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