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We require trading participants to comply with laws and regulations, and impose a penalty such as fine on trading participants that violated the laws and regulations.
By
clicking on the date, you can see a more detailed description of the
disciplinary action for each case (also available in our 'News' section).|
Date
|
Trading Participant
|
Violation
|
Disciplinary Action
|
||||
| Japan Asia Securities Co., Ltd. | Conclusion of a contract to manage a discretionary account | Censure | |||||
|
Maruhachi Securities Co., Ltd. |
Conclusion of a contract to manage a discretionary account | Fine of JPY 10 million | |||||
| Calyon Capital Markets Asia B.V. | Violation of short sell | Fine of JPY 10 million | |||||
|
Tachibana Securities Co., Ltd. |
Violation of just and equitable principles of transactions | Fine of JPY 5 million | |||||
| H.S. Securities Co., Ltd. | Insufficient degree of control of order acceptance for prevention of artificial market | Censure | |||||
|
J.P. Morgan Securities Asia Private Limited |
Series of futures transactions to create an artificial market without any reflection of the actual state of the market | Fine of JPY 25 million | |||||
| Mizuho Securities Co., Ltd. | Insufficient degree of control of electronic information processing system, Violation of just and equitable principles of transactions | Fine of JPY 10 million | |||||
|
Nihon Kyoei Securities Co., Ltd. |
Insufficient degree of control of order acceptance for prevention of the artificial market | Censure | |||||
| Rakuten Securities, Inc. | Insufficient degree of control of electronic information processing system | Censure | |||||
|
Maruhachi Securities Co., Ltd. |
Conclusion of a contract to manage a discretionary account |
Fine of JPY 10 million |
|||||
|
Meiwa Securities Co., Ltd |
Conclusion of a contract to manage a discretionary account |
Fine of JPY 5 million |
|||||
| April 8, 2005 |
Aizawa Securities Co., Ltd |
|
|
||||
| February 22, 2005 | UFJ Tsubasa Securities Co., Ltd | Matched orders |
Fine of JPY 20 million | ||||
| February 22, 2005 | Niigata Securities Co., Ltd | False statements in relation to securities
trading, Acts in violation of regulations regarding segregated
custody of customer's assets, False reports to TSE |
Fine of JPY 50 million | ||||
| December 17, 2004 | Chuo Securities Co., Ltd | Conclusion of a contract
to manage a discretionary account |
Fine of JPY 2 million | ||||
| Displayed to cause misapprehension concerning important facts in relation to securities trading | Censure | ||||||
| November 12, 2004 | Jujiya Securities Co., Ltd. | A series of transactions to create an artificial market without any reflection of the actual state of the market | Fine of JPY 20 million | ||||
| August 6, 2004 | MARUSAN
SECURITIES CO., LTD |
Acceptance of a series of transactions to create an artificial market without any reflection of the actual state of the market | Fine of JPY 8 million | ||||
| June 30, 2004 | TOYO SECURITIES CO., LTD. | Failure to deliver prospectus upon Public Offering | Fine of JPY 3 million | ||||
| June 30, 2004 | OKACHI SECURITIES CO., LTD. | Conclusion of a contract to manage a discretionary account | Fine of JPY 1 million | ||||
| February 6, 2004 | Mizuho Investors Securities Co., Ltd. | A series of transactions to create an artificial market without any reflection of the actual state of the market | Fine of JPY 10 million | ||||
| December 25, 2003 | Societe Generale Securities (North Pacific) Ltd. | A series of transactions to create an artificial market without any reflection of the actual state of the market | Fine of JPY 14 million | ||||
| September 10, 2003 | HSBC Securities (Japan) Limited | Solicitation with promise of special profit | Fine of JPY 2 million | ||||
| July 25, 2003 | Tokai Tokyo Securities Co.,Ltd. | A series of transactions to create an artificial market without any reflection of the actual state of the market | Fine of JPY 10million | ||||
| July 25, 2003 | Retela Crea Securities Co.,Ltd. | A series of transactions to create an artificial market without any reflection of the actual state of the market | Fine of JPY 10million | ||||
| July 25, 2003 | Credit Agricole Indosuez Securities (Japan) Limited | Solicitation with promise of special profit | Fine of JPY 2million | ||||
| June 27, 2003 | Daiwa Securities SMBC Co., Ltd. | Improper supervision of coporate related information | Fine of JPY 2million | ||||
| April 4, 2003 | Nikko Salomon Smith Barney Limited | A series of transactions to create an artificial market without any reflection of the actual state of the market | Fine of JPY 30million | ||||
| April 4, 2003 | J.P.Morgan Securities Asia Pte. Limited | A series of transactions to create an artificial market without any reflection of the actual state of the market | Fine of JPY 14million | ||||
| April 4, 2003 | Marusan Securities Co.,Ltd. | Conclusion of a contract to manage a discretionary account | Fine of JPY 6million | ||||
| January 24, 2003 | CREDIT LYONNAIS SECURITIES EUROPE - SWITZERLAND AG | Business without prior authorization , approval or notification | Fine of JPY 3 million | ||||
| The violation against the Measures to Prevent Abuses | Censure | ||||||
| January 24, 2003 | ING SECURITIES (JAPAN) LIMITED | Solicitation
with promise of special profit |
Fine of JPY 2 million | ||||
| December 25, 2002 | AIZAWA SECURITIES CO., LTD. | Conclusion of a contract to manage a discretionary account | Fine of JPY 5million | ||||
| December 25, 2002 | BNP PARIBAS Securities (Japan) Limited | A series of transactions to create an artificial market without any reflection of the actual state of the market | Fine of JPY 14million | ||||
| October 11, 2002 | Banc of America Securities-Japan, Inc. | A series of transactions to create an artificial market without any reflection of the actual state of the market | Fine of JPY 6million | ||||
| August 2, 2002 | Mito Securities Co.,Ltd. | Conclusion of a contract to manage a discretionary account | Fine of JPY 10million | ||||
| August 2, 2002 | BARCLAYS CAPITAL JAPAN LIMITED | Business without prior authorization , approval or notification | Fine of JPY 3 million | ||||
| June 27, 2002 | Dresdner Kleinwort Wasserstein (Japan) Ltd. | Short-selling in breach of the Law | Fine of JPY 7million | ||||
| Business without prior authorization , approval or notification | Fine of JPY 2million | ||||||
| June 27, 2002 | E*Trade Securities CO. | A series of transactions to create an artificial market without any reflection of the actual state of the market | Fine of JPY 10million | ||||
| April 26, 2002 | Century Securities Co., Ltd. | Conclusion of a contract to manage a discretionary account | Fine of JPY 30million | ||||
| Display to cause misapprehension concerning important facts | Fine of JPY 6million | ||||||
| March 20, 2002 | Credit Lyonnais Securities Europe - Switzerland AG | Short-selling in breach of the Law | Fine of JPY 15 million | ||||
| March 20, 2002 | Bear Stearns Japan Ltd. | Short-selling in breach of the Law | Fine of JPY 2 million | ||||
| Conclusion of a contract to manage a discretionary account | Fine of JPY 3 million | ||||||
| March 20, 2002 | Nikko Salomon Smith Barney Ltd. | Short-selling in breach of the Law | Censure | ||||
| February 15, 2002 | Morgan Stanley (Japan) Ltd. | Short-selling
in breach of the Law |
Fine of JPY 15 million | ||||
| A series of transactions to create an artificial market without any reflection of the actual state of the market | Fine of JPY 20 million | ||||||
| February 15, 2002 | Barclays Capital Japan Ltd. | Short-selling in breach of the Law | Censure | ||||
| January 18, 2002 | Goldman Sachs Japan Ltd. | Short-selling
in breach of the Law |
Fine of JPY 15 million | ||||
| Non-securities business without prior approval or notification | Fine of JPY 20 million |
(Update : 2006/12/12)
