Disciplinary Actions -2011-

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

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