Update : Feb. 17, 2011
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.
Click on the date to see a more detailed description of the disciplinary action for each case (also available in our 'News' section) .
|Date||Trading Participant||Violation||Disciplinary Action|
|February 17, 2011||Rakuten Securities, Inc.||Violation of withdrawal restriction on customer margin for margin trading||Censure|
|October 7, 2010||San-ei Securities Co.,Ltd.||Act of conducting purchases, etc. of listed securities with the aim of causing fluctuations in prices of such listed securities||Fine of JPY 5 million|
|May 14, 2010||SBI Securities Co., Ltd.||Insufficient Supervision on Electronic Information Processing System for Financial Instruments Business||Censure|
|April 16, 2010||Toyo Securities Co., Ltd.||Acceptance of Transactions to Create Artificial Market Conditions Insufficient Trading Supervision to Prevent Unfair Trading||Fine of JPY 20 million|