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Disciplinary Actions
Disciplinary Actions -2009-
Update : Aug. 11, 2009
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 |