All posts tagged "SESC"
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8.1KFeatured ArticlesAsia Has an Opportunity to Demonstrate Global RegTech Leadership
Hong 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, 2021 -
395AML / KYCJapan Regulators Order Crypto Exchange to Improve AML Systems
Avacus Co Ltd must build an AML/CTF risk management system that ensures transactions are confirmed and recorded at the time of transaction.
January 2, 2021 -
783EnforcementJapan FSA Fines Nissan $22m Over Ghosn Misconduct
The 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, 2020 -
489Enforcement
US 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 -
514EnforcementJapan 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 -
1.2KEnforcementUPDATED – 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 -
1.1KEnforcement
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 -
776EnforcementOSE, 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 -
660Enforcement
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 -
555EnforcementJapan 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
