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May 2024 Japan Exchange Regulation Trading Participants Examination and Inspection Department Summary of Revisions - Necessary revisions (additional descriptions, etc.) were made based on laws, rules, and regulations as of the end of April 2024. - In light of the prohibition of market orders for trading on initial listing dates imposed by Tokyo Stock Exchange, Inc. (effective on June 26, 2023), revisions were made to Regulatory Intent and Requirements in "10. Compliance with Same-Day Cash Collection Rules." - In light of the change in margin calculation method for futures and options from the SPAN method to the VaR method (effective November 6, 2023) by Japan Securities Clearing Corporation, revisions were made to Regulatory Intent and Requirements in "13. Management of Margins for Futures Trading, etc." - In light of the recent market manipulation on proprietary trading, "Reference: Event Screening for the Prevention of Unfair Trading and Inspections on Proprietary Trading" was added to "...
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Reference Translation) September 28, 2022 Imposition of Disciplinary Action against Okayasu Shoji Co.,Ltd. Osaka Exchange, Inc. (OSE) has taken disciplinary action against Okayasu Shoji Co.,Ltd. (hereinafter, the "Company") in accordance with Rule 42, Paragraph 1 of the OSE Trading Participant Regulations and has requested that the Company submit a business improvement report pursuant to Rule 17, Paragraph 1 of the same Regulation. 1. Outline ・Suspension of derivatives trading (excluding, however, settlement transactions for customers, transactions for the account of the broker’s consignee, and other transactions separately approved by OSE) for the period fromOctober 17 through October 19, 2022. ・Imposition of a JPY 50 million penalty Note: The decision on this case was made based on deliberations carried out by Japan Exchange Regulation. 2. Reason From August 30, 2010 to February 28, 2022, the Company manipulated the calculation of its capital adequacy ratio to be higher than the ...
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(Reference Translation) September 28, 2022 Imposition of Disciplinary Action against Okayasu Shoji Co.,Ltd. Tokyo Commodity Exchange, Inc. (TOCOM) has taken disciplinary action against Okayasu Shoji Co.,Ltd. (hereinafter, the "Company") in accordance with Article 153, Paragraph 1 of the TOCOM Market Rules and has requested that the Company submit a business improvement report pursuant to Article 146, Paragraph 1 of the same Rules. 1. Outline ・Imposition of a JPY 15 million penalty 2. Reason From January 4, 2011 to February 28, 2022, the Company manipulated its net assets regulation ratio to be higher than the actual value, calculating a ratio that does not reflect the actual status. As a result, the Company fell under the case provided for in an ordinance of the competent ministry as stipulated in Article 211, Paragraph 1 of the Commodity Derivatives Transaction Act (hereinafter the "Commodity Act") (where the net assets regulation ratio ...
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March 15, 2024 TSE Imposes Disciplinary Actions against SBI SECURITIES Co., Ltd. Tokyo Stock Exchange, Inc. (TSE) has taken disciplinary action against SBI SECURITIES Co., Ltd. (hereinafter "the Company"), as indicated below. This action has been taken pursuant to the provisions of Rule 34, Paragraph 1, Item (8) of the Trading Participant Regulations, and TSE has requested that the Company submit a business improvement report pursuant to the provisions of Rule 19, Paragraph 1, Item (1) of the same Regulations. The above measures were determined based on the results of the deliberations by Japan Exchange Regulation. 1. Disciplinary Action - Imposition of a JPY 100 million fine 2. Reason - Accepting orders from customers to purchase listed financial instruments on the financial instruments exchange market while knowing that causing fluctuation of market prices of said listed financial instruments, etc., will result in artificial price formation out of line with actual market conditions....
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March 15, 2024 OSE Imposes Disciplinary Actions against SBI SECURITIES Co., Ltd. Osaka Exchange, Inc. (OSE) has taken disciplinary action against SBI SECURITIES Co., Ltd. (hereinafter "the Company"), as indicated below. This action has been taken pursuant to the provisions of Rule 42, Paragraph 1, Item (10) of the Trading Participant Regulations, and OSE has requested that the Company submit a business improvement report pursuant to the provisions of Rule 17, Paragraph 1, Item (1) of the same Regulations. The above measures were determined based on the results of the deliberations by Japan Exchange Regulation 1. Disciplinary Action - Censure 2. Reason - Accepting orders from customers to purchase listed financial instruments on the financial instruments exchange market while knowing that causing fluctuation of market prices of said listed financial instruments, etc., will result in artificial price formation out of line with actual market conditions. In order to cause the initial stock ...
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October 1, 2024 TSE Imposes Disciplinary Action Against Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. Tokyo Stock Exchange, Inc. (TSE) has taken disciplinary action against Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (hereinafter "the Company") pursuant to the provisions of Rule 34, Paragraph 1, Item (8) of the Trading Participant Regulations, as indicated below, and has requested the Company to submit a business improvement report pursuant to the provisions of Rule 19, Paragraph 1, Item (1) of the same Regulations. The above measures were determined based on the results of the deliberations by Japan Exchange Regulation. 1. Disciplinary Action ûImposition of a JPY 40 million fine 2. Reason (1) Inappropriate sharing, usage, and management of information aÿInappropriate sharing and usage of customer information with a bank Article 153, Paragraph 1, Item (vii) of the Cabinet Office Order on Financial Instruments Business, etc. (hereinafter the "FIB Cabinet Order") pursuant to the ...
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October 1, 2024 TSE Imposes Disciplinary Action Against Morgan Stanley MUFG Securities Co., Ltd. Tokyo Stock Exchange, Inc. (TSE) has taken disciplinary action against Morgan Stanley MUFG Securities Co., Ltd. (hereinafter "the Company") pursuant to the provisions of Rule 34, Paragraph 1, Item (8) of the Trading Participant Regulations, as indicated below, and has requested the Company to submit a business improvement report pursuant to the provisions of Rule 19, Paragraph 1, Item (1) of the same Regulations. The above measures were determined based on the results of the deliberations by Japan Exchange Regulation. 1. Disciplinary Action ûImposition of a JPY 10 million fine 2. Reason - Inappropriate sharing, usage, and management of information a) Inappropriate sharing and usage of customer information with a bank Article 153, Paragraph 1, Item (vii) of the FIB Cabinet Order pursuant to the provisions of Article 44-3, Paragraph 1, Item (iv) of the FIEA ...
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October 1, 2024 OSE Imposes Disciplinary Action Against Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. Osaka Exchange, Inc. (OSE) has taken disciplinary action against Mitsubishi UFJ Morgan Stanley Securities Co., Ltd. (hereinafter "the Company") pursuant to the provisions of Rule 42, Paragraph 1, Item (10) of the Trading Participant Regulations, as indicated below, and has requested the Company to submit a business improvement report pursuant to the provisions of Rule 17, Paragraph 1, Item (1) of the same Regulations. The above measures were determined based on the results of the deliberations by Japan Exchange Regulation. 1. Disciplinary Action ûCensure 2. Reason (1) Inappropriate sharing, usage, and management of information aÿInappropriate sharing and usage of customer information with a bank Article 153, Paragraph 1, Item (vii) of the Cabinet Office Order on Financial Instruments Business, etc. (hereinafter the "FIB Cabinet Order") pursuant to the provisions of Article 44-3, Paragraph 1, ...
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October 1, 2024 OSE Imposes Disciplinary Action Against Morgan Stanley MUFG Securities Co., Ltd. Osaka Exchange, Inc. (OSE) has taken disciplinary action against Morgan Stanley MUFG Securities Co., Ltd. (hereinafter "the Company") pursuant to the provisions of Rule 42, Paragraph 1, Item (10) of the Trading Participant Regulations, as indicated below, and has requested the Company to submit a business improvement report pursuant to the provisions of Rule 17, Paragraph 1, Item (1) of the same Regulations. The above measures were determined based on the results of the deliberations by Japan Exchange Regulation. 1. Disciplinary Action ûCensure 2. Reason - Inappropriate sharing, usage, and management of information a) Inappropriate sharing and usage of customer information with a bank Article 153, Paragraph 1, Item (vii) of the FIB Cabinet Order pursuant to the provisions of Article 44-3, Paragraph 1, Item (iv) of the FIEA states that a Financial Instruments Business Operator ...
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December 16, 2024 TSE Imposes Disciplinary Action Against Nomura Securities Co., Ltd. Tokyo Stock Exchange, Inc. (TSE) has taken disciplinary action against Nomura Securities Co., Ltd. (hereinafter "the Company") pursuant to the provisions of Rule 34, Paragraph 1, Item (8) of the Trading Participant Regulations, as indicated below, and has requested the Company to submit a business improvement report pursuant to the provisions of Rule 19, Paragraph 1, Item (1) of the same Regulations. The above measures were determined based on the results of the deliberations by Japan Exchange Regulation. 1. Disciplinary Action ûCensure 2. Reason The Company, through an employee who was involved in the Company's proprietary trading, became involved in manipulative trading typically known as "layering" in the March 2021 contract of 10-year JGB Futures (hereinafter "the JGB Futures") listed on Osaka Exchange, Inc. (OSE) for the purpose of inducing others to buy or sell the ...
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