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Disciplinary Actions
Disciplinary Actions -2010-
Update : Mar. 19, 2010
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.
By clicking on the date, you can see a more detailed description of the disciplinary action for each case (also available in our 'News' section).
| Date | Trading Participant | Violation | Disciplinary Action |
|---|---|---|---|
| March 16, 2010 | Cosmo Securities Co., Ltd. | Situation deemed seriously lacking in management supervision and business supervision systems and frameworks, such as conduction of organized and multiple violations of laws and regulations, including inappropriate solicitation, and that such actions went undetected. | Censure |
| February 16, 2010 | BNP PARIBAS Securities (Japan) Limited | Violation of just and equitable principles of trade, and acts of trading, such as trading securities, related to corporate information for one’s own account, based on such corporate information | Fine of JPY100 million |
| Violation of disciplinary actions imposed by the administrative authority pursuant to laws and regulations as well as violation of the rules and regulations of the TSE, with regard to the financial instruments business | Fine of JPY30 million | ||
| With intent of changing, pinning, fixing or stabilizing prices of or increasing trading volume of listed financial instruments, etc. in the financial instruments exchange market, committing acts such as purchases or sales of said listed financial instrument, etc. | Fine of JPY50 million | ||
| October 20, 2009 | Kabu.com Securities Co., Ltd. | Necessary and appropriate measures not taken for the prevention of unfair trading, in relation to company related information | Fine of JPY 5 million |
| August 11, 2009 | Mitsubishi UFJ Securities Co., Ltd. | Insufficient preparation for internal management such as the management of personal information of customers | Censure |
| June 12, 2009 | Rakuten Securities, Inc. | Insufficient management of the electronic information processing system relating to financial instruments business, etc. | Fine of JPY 3 million |
| June 12, 2009 | Monex, Inc. | Insufficient management of the electronic information processing system relating to financial instruments business, etc. | Fine of JPY 3 million |