Archives

Disciplinary Actions -2004-

Update : Apr. 04, 2007

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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.

Date Trading Participant Violation Disciplinary Action
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

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