Recommendations to the FSA

Recommendation for Administrative Action based on Findings of the Inspection of Citigroup Global Markets Japan Inc. (9/December/2011)
Recommendation for Administrative Action based on Findings of the Inspection of UBS Securities Japan Ltd. (9/December/2011)
Recommendation for Administrative Action based on Findings of the Inspection of RBS Securities Japan Limited (19/January/2010)
Recommendation for Administrative Action based on Findings of the Inspection of BNP Paribas Securities (Japan) Limited (16/October/2009)
Banque AIG (19/July/2007)
Pictet Asset Management Japan Ltd. (29/June/2007)
Merrill Lynch Investment Managers Co., Ltd. (31/May/2006)
J.P. Morgan Securities Asia Private Ltd. (9/March/2006)
Crédit Agricole Indosuez Securities (Japan) Ltd. (17/June/2005)
UFJ Tsubasa Securities Co. Ltd.(7/January/2005)
Tokyo Branch of　Citibank, N.A. (14/September/2004)
Cantor Fitzgerald Shoken Kaisha Ltd. (10/September/2004)
Tokai Tokyo Securities Co., Ltd. (30/June/2004)
UBS Securities Japan Ltd. (21/May/2004)
Mizuho Investors Securities Co., Ltd. (8/January/2004)
Société Générale Securities (North Pacific) Ltd. (28/November/2003)
Mizuho Investors Securities Co., Ltd. (19/August/2003)
HSBC Securities (Japan) Limited (17/July/2003)
Shinkin Securities Co., Ltd. (30/June/2003)
Crédit Agricole Indosuez Securities (Japan) Limited (24/June/2003)
Tokai Tokyo Securities Co., Ltd. (23/June/2003)
Norinchukin Securities Co., Ltd. (14/March/2003)
Nikko Salomon Smith Barney Limited (7/March/2003)
J.P.Morgan Securities Asia Pte. Limited (25/February/2003)
ING Securities (Japan) Limited (19/December/2002)
BNP PARIBAS Securities (Japan) Limited (29/November/2002)
Banc of America Securities-Japan, Inc. (10/September/2002)
Okasan Securities Co., Ltd. (11/July/2002)
Cosmo Securities Co., Ltd. (11/June/2002)
Dresdner Kleinwort Wasserstein (Japan) Limited, Tokyo Branch (7/June/2002)
Sakura Friend Securities Co., Ltd. (23/Apr/2002)
Morgan Stanley Japan Limited (30/Jan/2002)
Goldman Sachs (19/Dec/2001)
Tsubasa (9/Nov/2001)
Shinko (29/June/2001)
Société Générale (19/June/2001)
Kokusai (12/June/2001)
Tokyo-Mitsubishi (22/May/2001)
Mizuho (18/May/2001)
Nikko (27/Apr/2001)
CIBC (6/Mar/2001)
UBS,Commerz (16/Feb/2001)
Rabo (26/Jan/2001)
WestLB (12/Sep/2000)
TOYO (1/Aug/2000)
Garban (21/June/2000)
BNP Paribas (26/May/2000)
Deutsche (15/May/2000)
Credit Lyonnais (21/Apr/2000)
WAKO (17/Mar/2000)
ABN AMRO (12/Nov/99)
CRESVALE (22/Oct/99)
NOMURA (19/Jul/99)
Dresner (13/Nov/98)
INSTINET (12/Oct/98)
ING Bearings (26/May/98)
HSBC (26/May/98)
ICHIYOSHI (17/Apr/98)
NIKKO (20/Mar/98)

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