Archives

Disciplinary Actions -2009-

Update : Aug. 11, 2009

print

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
June 27, 2008 SBI E*TRADE SECURITIES Co., Ltd. situation in which the necessary and appropriate measures for the prevention of unfair trading, in relation to company related information with respect to the management of customer's securities and other transactions, are deemed to not have been taken Censure
May 28, 2008 Maruhachi Securities Co., Ltd. Accepting and executing orders for stock price pegging Suspension of brokerage trading for stocks on the TSE market (3 days)
May 28, 2008 Deutsche Securities Inc. An act of trading securities through a proprietary account based on corporate related information Fine of JPY 3 million

Top of Page