SMBC Nikko Securities was also found to have shared confidential information of several corporate clients without their consent with its parent's banking unit.
October 10, 2022The SESC has recommended that the FSA punish SMBC Nikko Securities for stock price manipulation and shortfalls in its trading surveillance system.
September 30, 2022Atlantic Trading London engaged in a series of manipulative derivative transactions in early 2020, the SESC said.
June 24, 2022Prosecutors have filed charges against SMBC Nikko Securities and five others. The head of the firm's equity division was also arrested.
March 25, 2022An individual who learned about the July 2019 theft of cryptocurrency from BITPoint Japan sold shares in its parent before the hack was publicly disclosed.
December 20, 2021Employees are said to have traded several stocks to support their prices to ensure the completion of block deals conducted after market hours.
November 4, 2021Hong Kong, Singapore and Tokyo each have an opportunity to demonstrate global leadership in the regtech sector, according to a panel of experts hosted by the Asia Society's Hong Kong Center.
January 18, 2021Avacus Co Ltd must build an AML/CTF risk management system that ensures transactions are confirmed and recorded at the time of transaction.
January 2, 2021The fine is the second-highest penalty ever imposed by the FSA, and a response to 8 years of under-reported remuneration by Nissan's former chairman Carlos Ghosn.
March 2, 2020As 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