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Compliance consciousness is not just "do not violate law".
Our philosophy is to protect trust, including corporate rules, social common sense, and 観ics. In the world of investment, compliance awareness is quite important. It is because the market where money is involved is made of credit.
If you are a beginner, take the distance as "Easy to make money", "Unpublished information-like story", "Social media投稿 posts". Even if you start from here, you can avoid big failures.
About compliance awareness
Compliance is simply to protect the rules.
However, modern meaning is a bit wider. In addition to the law, we will take measures not only to internal rules, social common sense, information management, customer protection, and 観ics.
Specifically, the following actions:
| Action | 内容 |
|---|---|
| Protecting Law | Financial Instruments and Exchange Act, Corporate Law, Personal Information Protection Law, etc. |
| Protect internal rules | Information management, trade, approval procedures |
| No customer | Do not hideなous information |
| No fraud | Avoid powder decoration, tampering and overhead transactions |
| Handling information appropriately | No leakage of unpublished information or personal information |
| Avoid socially problematic behavior | shouldn't move in |
In other words, the compliance consciousness is not "OK" but "make trusted actions".
Same as investment. #コンプライアンスliance seems to be a difficult word, but it is a very routine decision in practice.
Why important?
Simple.
If you lose your trust, your company and your individual will lose.
| 問題 | Easy to get up |
|---|---|
| Contact Us | Customer displacement, damages, administrative disposal |
| ud Accounting | Dec ed stock price, delisted risk, decreasing credit |
| InsiderTrading | Cri punishment, loss of social credibility |
| Wind theory | Market confusion, disposal and damage risk |
| Data falsification | Brand collapse, trade stop |
In particular, in the investment industry, loss of trust is directly linked to the stock price.
Even if the number of accounts is good, if fraudulent accounting and information leakage occur, the market will change the evaluation at once. Investors see not only profits, but also "is this company credible?"
Important Compliance in Investment
There are three things that beginners want to know at least:
InsiderTrading
Insider trading is an act of buying and selling shares, etc. before the information is published by a person who knows the company's undisclosed important information.
For example, this is a case that uses the information to buy and sell big fixes, acquisitions, serious misconduct, large contracts, etc.
This is illegal.
Even if you are not a company employee, it may be a problem if you hear and buy or sell unpublished information from the parties concerned.
False and False Information
The Securities and Exchange Surveillance Committee explains that unfair transactions such as textile flow, counterfeit, market control, and internal trade are prohibited under the Financial Instruments and Exchange Act.
The flow of the theory is to spread information that differs from the facts and without reasonable grounds, such as the purpose of moving the market.
It will be a problem if you are going to post on SNS at any time, or if you are intentionally moving stock price.
SNS
Posting such as "absolute" "to buy now" "with internal information" is dangerous.
Even if you believe in it, if you spread the weak ground information in a strong way, you will avoid the investment decisions of others.
In particular, short-term funds may be資金 by SNS posts, and stock prices may be。d. If you turn to the right side, you will be risky even if you are legal or credited.
Easy to misunderstand for beginners
What to do if you do not violate the law
This is a dangerous way.
Even if it is not expressly written by law, ically problematic behavior, behavior that misunderstands customers and investors, and socially improper behavior can be strongly criticized.
This page has a corporate posture even after #governance and ESG.
You can see all the information on SNS.
The contents are not correct even on public SNS information.
The Financial Services Agency is urging attention to fraudulent cases that are solicited for investment stories such as “making money” through social media. The Police Agency is also calling for suspicion of suspicion such as “be sure to go” and “reliably profit” in SNS-based investment fraud.
In investment, the reliability of the source is ahead of the speed of information.
I'm a small investor and I'm not involved
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It is important not to make fraudulent transactions, but it is part of compliance awareness that it is not caught in fraudulent investment solicitation.
Don’t売買use suspicious information, don’t buy or sell unconfirmed information, don’t ask for private information. Many small investors can do.
Characteristics of people with high compliance awareness
There are several common points for people with high compliance awareness.
| Features | Definition in Investment |
|---|---|
| Leave a record | You can check the reason and source of trading later |
| Don't neglect | View有価証券IR, Financial Summary and Securities Report |
| Avoid Gray Zone | Don't get on unpublished or in ring posts |
| Focus on trust from short-term profit | Do not sell or disseminate |
| I don't move | If you are unsure, check and consult |
Long-term investment is also important to be a reliable company.
View not only sales and profits, but also fraudulent history, information disclosure posture, audit, board of directors and internal control. However, it can lead to a large loss if you look at here.
How to Use in Practice
If you are a beginner, the following three are enough.
Do not believe in suspicious information
When the following words appear, the distance is set.
- Make money
- Warranty
- For You Only
- Special purchase before listing
- ly up
- Internal information
If you have a really good investment opportunity, you don’t have to rush.
Use trusted sources
The sources you want to prioritize are:
| Contact Us | How to use |
|---|---|
| Corporate Information | 決算 financial results, forecasts and business descriptions |
| Timely disclosure | important facts |
| Securities Report | Review risk, business content and finance |
| ETF Management Company | Check the index, cost and const ent |
| Japan Bank, Ltd. | 制度ation of system and unfair transactions |
SNS Do not replace primary information.
Long-term trust
In addition to short-term stock price materials, we also check governance, fraudulent history and information disclosure posture.
Looking forward to making money? This order is important as a beginner.
Diagram: Approach to compliance awareness
Compliance consciousness is a posture to protect rules and trust.
In investment, it is important to avoid fraudulent transactions, not to spread suspicious information, and to use reliable sources.
The more beginners, the better the story. This is the most important thing.
Investment is important not only for short-term profit but also for long-term market. In order to do so, we need not only knowledge but also compliance awareness.
Reference
- Date: 2026-05-28