Archives

Disciplinary Actions -2005-

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 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

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