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Bright! FRONTEO Official Blog

[Webinar held on June 6] Practice of regulation and detection of fraudulent transactions under the Financial Instruments and Exchange Act and points to keep in mind when trading securities for listed corporate officers and employees

[Online Seminar co-sponsored by Kohwa Sohgoh Office / FRONTEO]

Fraudulent transactions under the Financial Instruments and Exchange Act cover a wide range of areas such as insider trading, stock price manipulation, window dressing, and counterfeit trading. It can be said that the tightening of regulations is remarkable due to the frequent occurrence of cases of detection by the authorities.Officers and employees of listed companies are required to have the ability to accurately grasp such recent situations and select the correct response when engaging in stock trading, regardless of whether they are treasury stock or other companies' stock. increase.
Based on his four years of work experience at SESC as a lawyer and his abundant practical experience after returning to lawyer, the instructor is currently engaged in fraud investigation and crisis management measures (third-party committee members, etc.) of many listed companies. I am a lawyer who has been entrusted with me, and I will explain the following contents while disclosing a wealth of practical knowledge.

XNUMX. XNUMX.Regulations on fraudulent transactions under the Financial Instruments and Exchange Act
・ Overview of insider trading, information transmission / transaction recommendation crimes, and others (dissemination of rumors, counterfeiting, etc.)
XNUMX. XNUMX. Practice of detection by SESC
・ How to detect and detect fraudulent transactions.
・ What are the consequences of being caught?
XNUMX. XNUMX.Relationship with the business of listed companies-Points to keep in mind when performing business and trading stocks
・ Contact with insider information
・ Case of detection
・ Information management-especially points to keep in mind regarding information transmission and transaction recommendation crimes

 

【Webinar Summary】

◆ Title: Practice of regulation and detection of fraudulent transactions under the Financial Instruments and Exchange Act and points to keep in mind when trading securities for listed corporate officers and employees-Focusing on insider trading regulations, information transmission / transaction recommendation regulations, and stock price control-
◆Date: Thursday October 2022, 6 @ 16:15-00:16 (JST)
◆ Fee: Free webinar
◆ Webinar type: Zoom Webinar
 
 

◆ Speaker:
 

Makoto Shirai
partner
Kohwa Sohgo Law Office

Kohwa Sohgoh Law Office Office Partner.We provide legal services centered on fraud investigation response, disclosure, corporate governance, and other listed corporate legislation.Extensive experience in dealing with fraudulent investigations (Disclosure cases of third-party investigation committee investigations, etc .: Members of the External Investigation Committee of the Urban Revitalization Organization (UR) (July 2016), External members of the Internal Investigation Committee of INEST Co., Ltd. ( Chairman) (November 7), Electricity Savings Building Holdings Third Party Committee Member (Chairman) (May 2017), Terra Co., Ltd. Third Party Committee Chairman (August 11) ), Prospect Special Investigation Committee (December 2018)), Coropla Special Investigation Committee (July 5), Meiho Enterprise Special Investigation Committee (August 2018) ), CEC Co., Ltd. Special Investigation Committee member (October 8)), etc.
He has a lot of experience in dealing with fraudulent activities related to the Financial Instruments and Exchange Act (such as dealing with authorities and criminal defense).

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