Press Releases - Financial Instruments Businesses etc.
Press Releases of 2023
Press Releases of 2022
- Petition for a court injunction against the president of Mt.light (MTL)(December 9, 2022)
- Court issuance of prohibition and stay order against Thousand Ventures Co., Ltd. and its manager.(October 6, 2022)
- Recommendation for administrative disciplinary action against Merchant Brains Investment Advisor Co., Ltd.(September 30, 2022)
- Recommendation for administrative disciplinary action against SMBC Nikko Securities Inc.(September 28, 2022)
- Petition for a court injunction against Thousand Ventures Co., Ltd. and its manager.(June 28, 2022)
- Recommendation for administrative disciplinary action against ES-CON Asset Management Ltd.(June 17, 2022)
- Recommendation for administrative disciplinary action against i SECURITIES Co., Ltd. and ARBITRAGE SYSTEM FUND COMPANY LIMITED(June 17, 2022)
- Recommendation for administrative disciplinary action against AMI Co., Ltd.（March 25, 2022）
- Recommendation for administrative disciplinary action against Shinsei Investment Management Co., Ltd.（January 21, 2022）
Press Releases of 2021
- Court issuance of prohibition and suspension against SKY PREMIUM INTERNATIONAL PTE. LTD. and one of its officers（December 8, 2021）
- Petition for a court injunction against SKY PREMIUM INTERNATIONAL PTE.LTD. and its officer(September 17, 2021)
- Recommendation for administrative disciplinary action against i Global Asset Management Co., Ltd.(January 29, 2021)
Press Releases of 2020
- Court issuance prohibition and suspension against Wealth design Co., Ltd. and its manager(December 24, 2020)
- Recommendation for administrative disciplinary action against Createjapan Co., Ltd.(November 13, 2020)
- Petition to the court for prohibition and suspention against Wealth design Co., Ltd. and its manager(November 10, 2020)
- Public Consultation on Partially Amendment of Securities Monitoring Guidelines（November 6,2020)
- Court issuance prohibition and suspension against GPJ Venture Capital LLC, its senior manager, and its senior corporate executive officer(September 11, 2020)
- Recommendation for administrative disciplinary action against FX PRIME by GMO Corporation(August 4, 2020)
- Recommendation for administrative disciplinary action against ProgressMind., Co. Ltd.(June 12, 2020)
- Recommendation for administrative disciplinary action against IGM Financial Group Inc.(April 14, 2020)
- Recommendation for administrative disciplinary action against Eastspring Investments Limited (March 27, 2020)
- Petition to the court for prohibition and suspension against GPJ Venture Capital LLC, its senior manager and the senior corporate executive officer(March 13, 2020)
- Recommendation for administrative disciplinary action against DTC Co., Ltd.(March 11, 2020)
- Recommendation for administrative disciplinary action against TRAFFIC TRADE Co., Ltd.(March 11, 2020)
- Recommendation for administrative disciplinary action against Fulham Co., Ltd.(March 3, 2020)
- Recommendation for administrative disciplinary action against MLC investment Co., Ltd.(March 3, 2020)
Press Releases of 2019
- Recommendation for administrative disciplinary action against Katsumi Hotta (Trademaster labo)(December 6, 2019)
- Recommendation for administrative disciplinary action against New-S Securities Co., Ltd.(November 26, 2019)
- Court issuance prohibition and stay orders against IFP Tokyo Co., Ltd., and its manager(October 17, 2019)
- Recommendation for administrative disciplinary action against Smart Asset Management Co., Ltd.(September 10, 2019)
- Recommendation for administrative disciplinary action against Kazunori MURAYAMA(August 30, 2019)
- Recommendation for administrative disciplinary action against Japan Private Asset Securities Inc.(August 30, 2019)
- Recommendation for administrative disciplinary action against Togo Securities Co., Ltd.(August 2, 2019)
- Court issuance prohibition and stay orders against Kabushiki Kaisha D.U.corporation and its manager(July 31, 2019)
- Court for a petition prohibition and stay orders against IFP Tokyo Co.,Ltd. and its manager(July 30, 2019)
- Filling of criminal charges for loss compensation against Togo Securities Co., Ltd.(July 9, 2019)
- Petition for a court injunction against Kabushiki Kaisha D.U.corporation and its manager(June 26, 2019)
- Recommendation for administrative disciplinary action against Tokaitoshijogenservice LLC.(June 21, 2019)
- Recommendation for administrative disciplinary action against findedge Co., Ltd.(June 18, 2019)
- Recommendation for an administrative disciplinary action against Citigroup Global Markets Japan Inc.(April 19, 2019)
- Recommendation for an administrative disciplinary action against FIP Asset Management Co., Ltd.(March 12, 2019)
- Recommendation for an administrative disciplinary action against Triple A Investment Advisor, Inc.(March 12, 2019)
- Recommendation for an administrative disciplinary action against Ai Trust Co., Ltd.(February 22, 2019)
- Recommendation for an administrative disciplinary action against CLSA Securities Japan Co., Ltd.(January 25, 2019)
- Court injunction against Clover Asset Management Co., Ltd., J trust Inc., the CEO of J trust Inc., and the de facto manager of both companies(January 11, 2019)
Press Releases of 2018
- Recommendation for an administrative disciplinary action against Ai Trust Co., Ltd.(December 7, 2018)
- Petition for a court injunction against Clover Asset Management Co., Ltd., J trust Inc., the CEO of J trust Inc., and the de facto manager of both companies(November 16, 2018)
- Recommendation for an administrative disciplinary action against Delta Investment Co., Ltd.(October 30, 2018)
- Recommendation for an administrative disciplinary action against Toyo Securities Co., Ltd.(October 30, 2018)
- Recommendation for an administrative action against Ohisama Energy Fund Co., Ltd.(September 21, 2018)
- Court injunction against Orange-plan, Inc., Gold Mine Co., Ltd., and two respective managers(July 27, 2018)
- Recommendation for an administrative disciplinary action against maneo market Inc(July 6, 2018)
- Petition for a court injunction against Orange-plan, Inc., Gold Mine Co., Ltd., and the two respective managers(May 29, 2018)
- Recommendation for an administrative disciplinary action against HEDGE FUND BANKING Co., Ltd.(May 22, 2018)
- Recommendation for an administrative disciplinary action against AK advisors Co., Ltd.(May 22, 2018)
- Court injunction against JG-company Co., Ltd., Master Co., Ltd., S&F Co., Ltd., and the three respective managers(March 29, 2018)
- Petition for a court injunction against JG-company Co., Ltd., Master Co., Ltd., S&F Co., Ltd., and the three respective managers(March 2, 2018)
- Recommendation for an administrative disciplinary action against Growth Advisors Co., Ltd.(February 23, 2018)
- Recommendation for an administrative disciplinary action against Lucky Bank Investment Co., Ltd.(February 20, 2018)
Press Releases of 2017
- Court injunction against a manager of FGX LIMITED(December 20, 2017)
- Recommendation for an administrative disciplinary action against Iwai Cosmo Securities Co.,Ltd.(December 12, 2017)
- Inspection results of NGI Capital LLC., FC Capital LLC. and E-RA Capital Inc. and recommendation for an administrative disciplinary action against FC Capital LLC.(November 7, 2017)
- Petition for a court injunction against a manager of FGX LIMITED(October 24, 2017)
- Recommendation for an administrative disciplinary action against The Yutaka Securities Co., LTD.(October 13, 2017)
- Recommendation for an administrative disciplinary action against YAMAGEN Securities Co., Ltd.(August 4, 2017)
- Inspection results and recommendation for an administrative action against RISE Co., Ltd.(June 16, 2017)
- Recommendation for an administrative action against FIP-Partners Co., Ltd.(June 6, 2017)
- Recommendation for an administrative action against Crowd Securities Japan, Inc.(June 2, 2017)
- Recommendation for an administrative action against Asset Planning Corporation(May 12, 2017)
- Recommendation for an administrative action against Fund Creation RM Co., Ltd.(March 29, 2017)
- Recommendation for an administrative action against MINNANO CREDIT, inc.(March 24, 2017)
- Inspection results and recommendation for an administrative action against IN CONSULTING Co., Ltd.(March 22, 2017)
- Notification of Inspection Results to MAVERICK Co., Ltd.(March 22, 2017)
- Recommendation for an administrative action against Japan Asia Asset Management Co., Ltd.(February 28, 2017)
- Inspection results and recommendation for an administrative action against Wolk Huren Japan Co., Ltd. and Silver Stay LLC.(February 10, 2017)
- Inspection results and recommendation for an administrative action against INFOSHIP LLC.(February 10, 2017)
- Inspection results and recommendation for an administrative action against World Stage LLC.(February 10, 2017)
Press Releases of 2016
- Recommendation for an administrative action against AM Online Co., Ltd.(December 6, 2016)
- Recommendation for an administrative action against Asset-Creation Co., Ltd.(December 2, 2016)
- Recommendation for an administrative action against AJ ASSET CREATION Co., Ltd.(December 2, 2016)
- Recommendation for an administrative action against e-asset. management. Co., Ltd.(December 2, 2016)
- Recommendation for an administrative action against CELL Co., Ltd.(November 25, 2016)
- Recommendation for an administrative action against SQI Japan Co., Ltd.(November 25, 2016)
- Recommendation for an administrative action against Winvol Co., Ltd, and three other associated companies(October 28, 2016)
- Inspection results and recommendation for an administrative action against Tokyo Asia Leprechaun Co., Ltd.(October 7, 2016)
- Recommendation for an administrative action against Grand Win Partners Inc.(September 2, 2016)
- Notification of Inspection Results to G.S.T Inc.(August 2, 2016)
- Court injunction against Repair House Co., Ltd. and its manager(July 4, 2016)
- Recommendation for an administrative action against IS Securities Co., Ltd.(June 10, 2016)
- Recommendation for an administrative action against Jyoko Securities Co., Ltd.(June 10, 2016)
- Recommendation for an administrative action against Takematsu Securities Co., Ltd.(June 10, 2016)
- Recommendation for an administrative action against Nobata Securities Co., Ltd.(June 10, 2016)
- Recommendation for an administrative action against Pregian Securities Co., Ltd.(June 9, 2016)
- Recommendation for an administrative action against Leading Securities Co., Ltd.(June 7, 2016)
- Recommendation for an administrative action against Kyowa Securities Co., Ltd.(June 7, 2016)
- Recommendation for an administrative action against Yamagata Securities Co., Ltd.(June 7, 2016)
- Recommendation for an administrative action against Daikumamoto Securities Co., Ltd.(June 7, 2016)
- Recommendation for an administrative action against Berte Co., Ltd.(June 3, 2016)
- Notification of Inspection Results to Sola Co., Ltd.(June 3, 2016)
- Recommendation for an administrative action against Dragoon Capital, Inc.(May 31, 2016)
- Notification of Inspection Results to Rot Adler Asset Management Co., Ltd.(May 31, 2016)
- Recommendation for an administrative action against Sun Capital Management Co., Ltd.(May 24, 2016)
- Notification of Inspection Results to ISC. LLC.(May 24, 2016)
- Notification of Inspection Results to Petrograd Investment. LLC.(May 24, 2016)
- Petition for a court injunction against Repair House Co., Ltd. and its manager(May 20, 2016)
- Recommendation for an administrative action against Topgain, Inc.(May 17, 2016)
- Notification of Inspection Results to Stein Partners. LLC.(May 17, 2016)
- Notification of Inspection Results to Shiyuu. LLC.(May 17, 2016)
- Notification of Inspection Results to Ocean Blue. LLC(April 22, 2016)
- Notification of Inspection Results to CHERISH. LLC(April 22, 2016)
- Recommendation for Administrative Action based on Findings of the Inspection of Credit Suisse Securities (Japan) Limited (April 15, 2016)
- Court injunction against F Support Co., Ltd. and its manager(April 14, 2016)
- Recommendation for an administrative action against Supremacy Asset Partners Co., Ltd.(April 1, 2016)
- Recommendation for an administrative action against Premiere Securities Co., Ltd.(March 18, 2016)
- Recommendation for an administrative action against TOGAKU Securities Co., Ltd.(March 18, 2016)
- Notification of Inspection Results to One Plus One Co., Ltd.(March 18, 2016)
- Recommendation for administrative action against First Make Limited Co., Ltd.(March 15, 2016)
- Recommendation for an administrative action against Global Report Co., Ltd.(March 11, 2016)
- Petition for court injunction against F Support Co., Ltd., and its manager(March 11, 2016)
- Recommendation for an administrative action against Jyoko Securities Co., Ltd.(February 19, 2016)
- Recommendation for an administrative action against Kyowa Securities Co., Ltd.(February 19, 2016)
- Recommendation for an administrative action against Takematsu Securities Co., Ltd.(February 19, 2016)
- Recommendation for an administrative action against Tahara Securities Co., Ltd.(February 19, 2016)
- Recommendation for an administrative action against Rokuwa Securities Co., Ltd.(February 19, 2016)
- Recommendation for an administrative action against Okinawa Securities Ltd.(February 19, 2016)
- Recommendation for an administrative action against The Arts Securities Co., Ltd.(January 29, 2016)
Press Releases of 2015
- Notification of Inspection Results to findedge.jp(December 14, 2015)
- Recommendation for Administrative Action based on Findings of the Inspection of Deutsche Securities Inc. (December 8, 2015)
- Court injunction against SRI BRAIN Co., Ltd. and its manager(December 7, 2015)
- Notification of Inspection Results to MARUSHO. Co. Ltd.(November 10, 2015)
- Recommendation for administrative action against Investment College, Inc.(October 6, 2015)
- Court injunction against Dream Japan Co., Ltd. and its manager(September 8, 2015)
- Petition for court injunction against SRI BRAIN Co., Ltd. and its manager(August 7, 2015)
- Notification of Inspection Results to JPM Co., Ltd.(August 7, 2015)
- Notification of Inspection Results to Noah Asset Management Co., Ltd.(August 7, 2015)
- Recommendation for administrative action against Future Stock Co., Ltd.(August 4, 2015)
- Notification of Inspection Results to Unlimited. Co., LTD.(August 4, 2015)
- Notification of Inspection Results to J KORAIL Co., Ltd.(August 4, 2015)
- Notification of Inspection Results to e-asset. management. Co., Ltd.(August 4, 2015)
- Notification of Inspection Results to Asset-Creation Co., Ltd.(August 4, 2015)
- Notification of Inspection Results to AJ ASSET CREATION Co., Ltd.(August 4, 2015)
- Notification of Inspection Result to Adnet Co., Ltd.(July 17, 2015)
- Petition for court injunction against Dream Japan Co., Ltd., and its manager(July 3 2015)
- Notification of Inspection Result to Meiwa Co., Ltd.(June 30, 2015)
- Notification of Inspection Results to MP Japan Co., Ltd.(June 30, 2015)
- Recommendation for administrative action against Crowd Securities Japan, Inc.(June 26, 2015)
- Recommendation for administrative action against ProgressMind Co., Ltd.(June 16, 2015)
- Recommendation for an administrative action against TAPJAPAN Co., Ltd.(June 9, 2015)
- Notification of Inspection Result to Allied Investment Co., Ltd.(June 5, 2015)
- Petition for court injunction against Japan Verita Co., Ltd. and its manager, and Gifter Japan Co., Ltd. and its manager(May 22, 2015)
- Notification of Inspection Results to Sokupinmaru Holdings(May 22, 2015)
- Recommendation for an administrative action against Kabu.com Securities Co., Ltd.(May 15, 2015)
- Notification of Inspection Results to Family Co., Ltd.(May 15, 2015)
- Notification of Inspection Results to Setouchi Fund Co., Ltd.(April 24, 2015)
- Notification of Inspection Results to Japan Veritas Co., Ltd.(March 20, 2015)
- Petition for court injunctions against Japan Verita Co., Ltd. and its manager, and Gifter Japan Co., Ltd. and its manager(March 20, 2015)
- Recommendation for an administrative action against Japan Industrial Promotion Fund Co., Ltd.(March 6, 2015)
- Notification of Inspection Results to Quest Capital Management Co., Ltd.(March 3, 2015)
- Notification of Inspection Results to DoorWave Inc.(February 24, 2015)
- Court injunction against Masters DPB Limited and its manager(February 23, 2015)
- Announcement of Investigation Results of Money Management Strength Co., Ltd.(January 30, 2015)
- Notification of Inspection Results to exito Co., Ltd.(January 23, 2015)
- Notification of Inspection Results to KSG Resource Co., Ltd.(January 16, 2015)
- Petition for a court injunction against Masters DPB Limited and its manager(January 14, 2015)
Press Releases of 2014
- Notification of Inspection Results to Winvol Co., Ltd, and three other associated companies(December 17, 2014)
- Recommendation for an administrative action against Next Trust Co., Ltd.(December 9, 2014)
- Court injunction against ES plus Co., Ltd. and its manager(October 22, 2014)
- Recommendation for an administrative action against Real Capital Management Co., Ltd.(October 17, 2014)
- Notification of Inspection Results to Clean Control Vietnam LLC(October 17, 2014)
- Recommendation for an administrative action against Zai Consulting Co., Ltd.（September 26,2014）
- Notification of Inspection Results to Kazuhiko WATANABE（September 26,2014）
- Petition for a court injunction against ES plus Co., Ltd. and its manager（September 12,2014）
- Court injunction against Granter Co., Ltd.（September 5,2014）
- Recommendation for an administrative action against FX corporation（August 29, 2014）
- Petition for a court injunction against Granter Co., Ltd. and its two managers（August 6, 2014）
- Recommendation for an administrative action against Consulting Alpha, Inc.（August 1, 2014）
- Court injunction against Grant Co., Ltd.（July 28, 2014）
- Recommendation for an administrative action against G3 Co., Ltd.（July 3, 2014）
- Petition for a court injunction against Grant Co., Ltd., the CEO and related key figures（July 3, 2014）
- Court injunction against UAG Co., Ltd.（June 23, 2014）
- Recommendation for an administrative action against Life Style Investment Co., Ltd（June 17, 2014）
- Recommendation for an administrative action against Traffic Corporation（June 17, 2014）
- Recommendation for an administrative action against Bansei Securities Co.,Ltd.（June 13, 2014）
- Recommendation for an administrative action against Bansei Asset Management Co.,Ltd.（June 13, 2014）
- Recommendation for an administrative action against Musashi Securities Co.,Ltd.（June 13, 2014）
- Petition for a court injunction against UAG Co., Ltd.（June 6, 2014）
- Results of public comments regarding revisions of the "Inspection Manual for Financial Instruments Business Operators"（June 4, 2014）
- Recommendation for an administrative action against Chart Master Inc.（May 30, 2014）
- Recommendation for an administrative action against Vienna Capital (Japan) Ltd.（May 20, 2014）
- Recommendation for an administrative action against Ohisama Energy Fund Co., Ltd..（May 16, 2014）
The Securities Inspection Policy and the Program for 2014 (March 25, 2014) (PDF)
Press Releases of 2013
- Recommendation for Administrative Action based on Findings of the Inspection of Deutsche Securities Inc. (December 5, 2013)
- Recommendation for Administrative Action based on Findings of the Inspection of MRI INTERNATIONAL, INC. (April 26, 2013)
- Recommendation for Administrative Action based on Findings of the Inspection of RBS Securities Japan Limited (April 5, 2013)
Press Releases of 2012
- Recommendation for Administrative Action based on Findings of Inspection of Standard & Poor's Ratings Japan K.K. (December 14, 2012)
- Recommendation for Administrative Action based on Findings of the Inspection of Nomura Securities Co., Ltd. (July 31, 2012)
- Recommendation for Administrative Action Based on Findings of the Inspection of Japan Advisory LLC (June 29, 2012)
- Recommendation for Administrative Action based on Findings of the Inspection of AIJ Investment Advisors Co., Ltd. (March 23, 2012)
- Recommendation for Administrative Action based on Findings of the Inspection of ITM Securities Co., Ltd. (March 23, 2012)
Press Releases of 2011
- Recommendation for Administrative Action based on Findings of the Inspection of Citigroup Global Markets Japan Inc. (December 9, 2011)
- Recommendation for Administrative Action based on Findings of the Inspection of UBS Securities Japan Ltd. (December 9, 2011)
Press Releases of 2010
Press Releases of 2009
Press Releases of 2007
Press Releases of 2006
- Merrill Lynch Investment Managers Co., Ltd. (May 31, 2006)
- J.P. Morgan Securities Asia Private Ltd. (March 9, 2006)
Press Releases of 2005
- Crédit Agricole Indosuez Securities (Japan) Ltd. (June 17, 2005)
- UFJ Tsubasa Securities Co. Ltd. (January 7, 2005)
Press Releases of 2004
- Tokyo Branch of Citibank, N.A. (September 14, 2004)
- Cantor Fitzgerald Shoken Kaisha Ltd. (September 10, 2004)
- Tokai Tokyo Securities Co., Ltd. (June 30, 2004)
- UBS Securities Japan Ltd. (May 21, 2004)
- Mizuho Investors Securities Co., Ltd. (January 8, 2004)
Press Releases of 2003
- Société Générale Securities (North Pacific) Ltd. (November 28, 2003)
- Mizuho Investors Securities Co., Ltd. (August 19, 2003)
- HSBC Securities (Japan) Limited (July 17, 2003)
- Shinkin Securities Co., Ltd. (June 30, 2003)
- Crédit Agricole Indosuez Securities (Japan) Limited (June 24, 2003)
- Tokai Tokyo Securities Co., Ltd. (June 23, 2003)
- Norinchukin Securities Co., Ltd. (March 14, 2003)
- Nikko Salomon Smith Barney Limited (March 7, 2003)
- J.P.Morgan Securities Asia Pte. Limited (February 25, 2003)
Press Releases of 2002
- ING Securities (Japan) Limited (December 19, 2002)
- BNP PARIBAS Securities (Japan) Limited (November 29, 2002)
- Banc of America Securities-Japan, Inc. (September 10, 2002)
- Okasan Securities Co., Ltd. (July 11, 2002)
- Cosmo Securities Co., Ltd. (June 11, 2002)
- Dresdner Kleinwort Wasserstein (Japan) Limited, Tokyo Branch (June 7, 2002)
- Sakura Friend Securities Co., Ltd. (April 23, 2002)
- Morgan Stanley Japan Limited (January 30, 2002)
Press Releases of 2001
- Goldman Sachs (December 19, 2001)
- Tsubasa (November 9, 2001)
- Shinko (June 29, 2001)
- Société Générale (June 19, 2001)
- Kokusai (June 12, 2001)
- Tokyo-Mitsubishi (May 22, 2001)
- Mizuho (May 18, 2001)
- Nikko (April 27, 2001)
- CIBC (March 6, 2001)
- UBS,Commerz (February 16, 2001)
- Rabo (January 26, 2001)
Press Releases of 2000
- WestLB (September 12, 2000)
- TOYO (August 1, 2000)
- Garban (June 21, 2000)
- BNP Paribas (May 26, 2000)
- Deutsche (May 15, 2000)
- Credit Lyonnais (April 21, 2000)
- WAKO (March 17, 2000)
Press Releases of 1999
Press Releases of 1998
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