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(Reference Translation) 1 March 30, 2021 Tokyo Commodity Exchange, Inc. Points of Consideration when Deciding on Sanctions The Commodity Derivatives Transaction Act stipulates that a commodity exchange must perform self-regulatory operations in an appropriate manner in order to ensure the fairness of transactions on the commodity market, as well as to protect entrustors. If a member of Tokyo Commodity Exchange, Inc. (hereinafter "the Exchange") violates laws and regulations as well as the rules, etc. of the Exchange (hereinafter "laws and regulations, etc."), the Exchange shall impose a sanction in accordance with the details of such violation pursuant to the provisions of the Market Rules of the Exchange. The purpose of sanction is to protect the public interest and investors in the Exchange market. In order to achieve this purpose, the Exchange considers it important to (i) prevent the member who has committed an act subject to sanction (hereinafter "...
1 (Reference Translation) July 16, 2013 Tokyo Stock Exchange Regulation Points of Consideration when Deciding Disciplinary Actions TSE and OSE (collectively "exchange(s)") take disciplinary action against their trading participants which have violated applicable laws and regulations or exchange rules (collectively "laws and regulations, etc."). Disciplinary actions are determined by Tokyo Stock Exchange Regulation ("TSE Regulation"), a self-regulatory organization established under the Financial Instruments and Exchange Act, entrusted by the exchanges to conduct self-regulatory operations. The purpose of disciplinary actions is to ensure the protection of investors and the public interest. The exchanges consider enhancing the overall quality of its trading participants important toward achieving this purpose by making efforts to prevent similar violations by a trading participant which had been disciplined and to raise the awareness of violations among other trading participants. With these aims in mind, TSE Regulation analyzed past cases of disciplinary actions to compile ...
1 This document provides a brief summary of insider trading regulations in Japan and is intended for educational purposes only. Contents have been recapitulated and omitted for perspicuity. Please consult a legal advisor as needed. •While every effort has been made to ensure the accuracy of the information presented wherein, Japan Exchange Regulation (JPX-R) shall bear no responsibility or liability for any damage, loss, or action arising from the use of this information, including errors in posted information and malfunctions during download. Copyright©2016 Japan Exchange Regulation. All rights reserved Presented by: Japan Exchange Regulation COMLEC Internal training materials 2 Officer buys the stock with knowledge of nonpublic information indicating a large increase in profit. Officer sells the stock Company discloses the financial information Stock price Price soars ! I did it! Big gains for me, since I bought it cheap! Insider trading refers to dishonest trading in which the ...
This document provides a brief summary of insider trading regulations in Japan and is intended for educational purposes only. Contents have been recapitulated and omitted for perspicuity. Please consult a legal advisor as needed. While every effort has been made to ensure the accuracy of the information presented wherein, Japan Exchange Regulation (JPX-R) shall bear no responsibility or liability for any damage, loss, or action arising from the use of this information, including errors in posted information and malfunctions during download. 1 Have you ever heard of the term“insider trading”? Maybe you know that it is“prohibited”. Today, we are going to talk about what“insider trading”actually is; what kinds of punishment you are subject to if you engage in insider trading; whether employees of a listed company, like us, are even allowed to purchase stocks; if we are, what we have to pay attention ...
1 Provided by：Japan Exchange Regulation ＣＯＭLEC Outline of insider trading Internal training materials Trainers: These materials provide a simple explanation of insider trading. Slides 1 through 10 provide a basic overview of insider trading regulations, and slides 11 to 17 present some concrete examples that cover important points to pay attention to. Feel free to use all or part of these materials at your convenience. This document provides a brief summary of insider trading regulations in Japan and is intended for educational purposes only. Contents have been recapitulated and omitted for perspicuity. Please consult a legal advisor as needed. While every effort has been made to ensure the accuracy of the information presented wherein, Japan Exchange Regulation (JPX-R) shall bear no responsibility or liability for any damage, loss, or action arising from the use of this information, including errors in posted information and malfunctions during download. Copyright©2016 ...
Copyright@2018 Japan Exchange Regulation All Right Reserved. 上場会社役職員のためのインサイダー取引規制入門日本取引所自主規制法人売買審査部本来、株式投資は正当な経済行為であり、インサイダー取引規制等の法規制が遵守されているかぎり、上場会社の役職員の方が自社株を売買することには何ら問題はありません。 この小冊子では、上場会社の役職員の皆さまに安心して取引い...
1 インサイダー取引に関する取引相談FAQ集 COMLECの取引相談窓口によく寄せられるインサイダー取引に関する質問及びそれに対する回答をとりまとめました。 （作成日付：2022年8月1日） なお、掲載している質問に対する回答は、インサイダー取引規制に関する考え方のポイントを一般論として示したものであり、実際の事案における事実関係によっては...
1 2016.2.4版 「知る前契約・計画」に関するFAQ集 2015年9月16日、有価証券の取引等の規制に関する内閣府令が改正され、いわゆる「知 る前契約・計画」に係るインサイダー取引規制の適用除外の範囲が拡大されています。 日本取引所自主規制法人に寄せられる「知る前契約・計画」に関する主な質問及びそれに対する回答をとりまとめました。 なお、掲載している質問...
(Reference Translation) December 20, 2022 Imposition of Disciplinary Actions against SMBC Nikko Securities Inc. Tokyo Stock Exchange, Inc. (TSE) has taken the following disciplinary action against SMBC Nikko Securities Inc. (hereinafter,“the Company”) in accordance with Article 34, Paragraph 2 of the Trading Participant Regulations and has requested the Company submit a business improvement report pursuant to Article 19, Paragraph 1 of the same Regulations. 1. Content of DisciplinaryAction ・Suspension of securities trading on the Tokyo Stock Exchange for the proprietary account of the Equity Department (excluding activity specifically authorized by TSE, such as transactions associated with the fulfilment of contracts already existing before the announcement date of disciplinary actions) during the period from January 16, 2023 through January 20, 2023. ・Imposition of a fine in the amount of JPY 300 million Note: The decision on this case was made based on the outcome of deliberations carried out by ...