Authors, etc.
Language
Japanese
Date of Publication
October 2010
Publication
Financial Compliance
Publisher
[2 Complaint Consultation and Practical Response for Sale of Risk Instruments]
| (1) Complaint Handling for Sale of Investment Trusts: Q12 Sale of an investment trust without delivering a prospectus, but committing to provide after-sales services |
| (3) Complaint Handling for Derivative Transactions: Q18 Complaints that no explanation was given upon the sale of a derivative transaction |
Related Publications
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Article etc."Revision of the Guideline for the Disclosure of Corporate Affairs - Clarification of Interpretation of Special Provisions Regarding Restricted Stock"Publication：Commercial Law Review No.2354 -
Article etc."Analysis of Deregulation Trends Related to Proprietary Trading Systems"Publication：Commercial Law Review No.2354
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Article etc."Q&A on Insider Trading Regulations: Explanation of Practical Application of Regulations (Q6 to Q8)"Publication：Commercial Law Review No.2349
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Article etc."Treatment of Existing Shareholders in Private Liquidation - Based on the Most Recent Case"Publication：NBL
No.1241 -
Article etc."The First Case in Japan that was Transferred from Business Revitalization ADR to Simplified Rehabilitation Proceedings"Publication：The Turnaround & Credit Management
Vol.36 No.4
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