(Excerpt)
(Friday, November １, 2024, 11:01 am to 11:11 am)
- Q.
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Recently, an administrative monetary penalty payment order was issued against Nomura Securities, Co., Ltd. for its government bond market manipulation, and there was also a case wherein a former employee of Nomura Securities was arrested for attempted robbery and murder.
What do you think of the series of misconduct at one of the largest securities companies? - A.
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Regarding the case of market manipulation by Nomura Holdings, Inc. and Nomura Securities, Co., Ltd., they paid the monetary penalty and published recurrence prevention measures yesterday.
It is truly regrettable that securities companies committed market manipulation even though they are in a position to contribute to securing the fairness and transparency of the market as gatekeepers.
Based on the published recurrence prevention measures, the Financial Services Agency (FSA) will closely follow up efforts by Nomura Holdings, Inc. and Nomura Securities, Co., Ltd. to strengthen their compliance systems and will take responsive measures properly.
Regarding the news coverage that a former employee of Nomura Securities attempted robbery and murder, it is very regrettable that a former employee of a major securities company was arrested on such charges, but I will refrain from making any more comments as the issue is relating to criminal investigations.
