All posts tagged "FSA"
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328JapanJapan Delays Pension Reform Amid Political Fallout
An FSA report which highlighted the insufficiency of Japan's pension system has been withdrawn by the government ahead of a national election.
June 14, 2019 -
566EnforcementUPDATED – Citigroup Japan Fined, Ordered to Improve Internal Controls
Having failed to detect after hours spoofing by a London trader, Citigroup Global Markets Japan has been fined, ordered to improve its controls, and suspended from participating in JGB auctions.
June 10, 2019 -
472EnforcementJapan FSA Takes Action Against Nomura Over Information Leak
The FSA has issued a number of business improvement orders to Nomura after it was revealed that its employees had shared sensitive stock market information with clients.
May 29, 2019 -
347AML / KYCJapan FSA Orders Seibu Shinkin Bank to Improve Loan Screening
The bank reportedly extended loans to persons connected to 'antisocial forces', and potentially executed over 100 fraudulent real estate loans.
May 28, 2019 -
418Enforcement
Japan FSA to Issue Improvement Order Against Nomura
The FSA will reportedly order Nomura Securities to strengthen controls and systems to prevent recurrence of a recent information leak.
May 24, 2019 -
337FeatureJapan TCFD Consortium Set for 27 May Inauguration
The Consortium will serve as a platform to pursue climate-related financial disclosures and decide how the disclosed information will be used in investment decisions.
May 22, 2019 -
478Japan
Japanese Firms Ally in Support of Climate Risk Transparency
The Japanese consortium adds nearly 100 more companies, including banks, to the growing list of firms that support the TCFD recommendations on climate risk disclosures.
May 17, 2019 -
535Fintech / RegtechJapan FSA Seeks AI Expertise to Examine Securities Reports
The FSA is looking to conduct an experiment to explore the use of AI to read and analyse the data in annual securities reports published by listed companies.
May 9, 2019 -
1.7KEuropeJapan OTC Derivatives Regime Deemed Equivalent Under EMIR
The European Commission recognises Japan's rules on valuation, dispute resolution and margin exchange for uncleared OTC derivative contracts as equivalent to EMIR.
April 26, 2019 -
511AML / KYC
Japan FSA Raids Two Crypto Exchanges to Check Compliance
The FSA reportedly wants to ensure appropriate measures have been implemented for customer protection and legal compliance after recent management changes.
April 25, 2019
