Tokyo Stock Exchange Imposed A Penalty On Barclays Capital Japan Limited

TSE imposed a penalty on Barclays Capital Japan Limited("BARCLAYS") of JPY 3 million fine for following business without prior authorization, prior approval or notification to the FSA.

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1. Intermediation of trade in over-the-counter derivatives contract on a security.
2. Intermediation of credit derivative transactions.
3. Intermediation of cash lending/borrowing.
4. Intermediation of making an anonymous association contract among parties.
5. Intermediation of making a deposit.
6. Intermediation of making a contract to guarantee on joint and several liability.

@ The acts above are found to violate the Article 7 of the Law on Foreign Securities Firms (LFSF), the Article 34 (3) and (4) of Securities & Exchange Law applied based on 14 (1) of the LFSF.