TSE News

TSE Imposes Disciplinary Action against Nomura Securities Co., Ltd.

Update : Oct. 31, 2012

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[Tokyo Stock Exchange, Inc.]

Tokyo Stock Exchange (hereinafter, "TSE") has imposed disciplinary action (fine of JPY 200 million) against Nomura Securities Co., Ltd. (hereinafter, the "Company") pursuant to the provisions of Rule 34, Paragraph 2 of the Trading Participant Regulations.

Additionally, TSE has requested the submission of a business improvement report pursuant to the provisions of Rule 19 of the Trading Participant Regulations.

The business improvement report shall include:

  1. Proper implementation/promotion of measures to prevent reoccurrence in the in-company survey report.
  2. Regular reporting of status of implementation of measures to prevent reoccurrence.
  3. Regular inspection of the effectiveness of measures to prevent reoccurrence and reporting of such inspection results.

DISCLAIMER: This translation may be used for reference purposes only. This English version is not an official translation of the original Japanese document. In cases where any differences occur between the English version and the original Japanese version, the Japanese version shall prevail. This translation is subject to change without notice. Tokyo Stock Exchange, Inc., Tokyo Stock Exchange Group, Inc., and/or Tokyo Stock Exchange Regulation shall individually or jointly accept no responsibility or liability for damage or loss caused by any error, inaccuracy, misunderstanding, or changes with regard to this translation.

Contact

Tokyo Stock Exchange, Inc.
Trading Participants
Tel: +81-3-3666-0141

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