All posts tagged "SESC"
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277EnforcementUS SEC Settles Charges Against Nissan, Former CEO
As settlement for underreporting CEO compensation, Nissan agreed to pay $15mn, while ex-CEO Carlos Ghosn will pay $1mn and get a 10-year officer and director bar.
September 24, 2019 -
322EnforcementJapan Brokerage Sanctioned for Giving a Client Preferential Treatment
A former baseball star and member of Japan’s Parliament was allowed to continue trading derivatives despite persistent margin shortfalls over about 9 months.
September 12, 2019 -
893EnforcementUPDATED – 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 -
857Enforcement
Citigroup Faces $1.2m Fine in Japan over Alleged JGB Manipulation
Citigroup's London office allegedly placed large orders in the 10-year JGB futures market outside of Japanese trading hours that were not executed, but may have mislead investors.
March 27, 2019 -
513EnforcementOSE, TSE Discipline MUFG Brokerage Unit for JGB Futures Manipulation
Latest disciplinary action follows a FSA fine earlier this year, after a dealer manipulated the JGB futures market using the firm's proprietary trading account.
September 21, 2018 -
443Enforcement
MUFG Brokerage Unit Primary Dealer Status Suspended
Dealer found to be manipulating prices in JGB futures trading, resulting in one-month suspension of the firm's primary dealer status for one month.
July 17, 2018 -
415EnforcementJapan Introduces AI Market Surveillance
System from Hitachi and NEC will identify potential unfair trading, but humans will still be relied on to interpret data.
March 21, 2018 -
Fintech / Regtech
Japan SESC Reveals Rise in Market Misconduct
Misconduct cases up 66%; regulator cites blockchain and cloud computing as hindrance to monitoring efforts, eyes regtech solutions.
August 30, 2017 -
Japan
Japan Warns on Pharma, Biotech Insider Trading
Regulator suspects doctors and academic personnel are involved in leaking information.
September 23, 2016 -
Japan
Japan Regulator Seeks to Penalise Foreign Firm for Stock Manipulation
The Securities and Exchange Surveillance Commission seeks to penalise Select Vantage Inc. for stock manipulation.
February 19, 2014
