Yesterday, OSE took disciplinary action on BNP Paribas Securities (Japan) Limited Tokyo Branch (hereinafter referred to as the "Branch") pursuant to Article 45 of the Regulations for Transaction Participants as follows.
- Disciplinary Action
OSE suspends all business, related to securities trading, etc. on the OSE market, of the Equities & Commodity Derivatives Division of the Branch from November 2 to November 16 (excluding business necessary for performance, or the termination of existing contracts, and other businesses specifically approved by the FSA) - Reason for the Disciplinary Action
The reason for the disciplinary action is that the FSA issued the following administrative action on the Branch based on the Article 52(1)(vi) of the Financial Instruments and Exchange Act.
- - Business Suspension Order
Suspend all business of the Equities & Commodity Derivatives Division of the Branch from November 2 to November 16 (excluding business necessary for performance, or the termination of existing contracts, and other businesses specifically approved by the FSA)
- - Business Suspension Order
