SESC Latest Topics No.3 «July 2014»
Last Updated : July 25, 2014
SESC Latest Topics No.3 «July 2014» | Last Updated : July 25, 2014 |
What’s New on the SESC Website
(Month of July 2014)
Topics
“Financial Instruments Business Operators under on-site inspection by the SESC”Available in Japanese
Press Releases
(Following press release is available in English)
Market Misconduct
July 17, 2014: | Basic Guidelines on Investigation of Market Misconduct(Provisional Translation)(PDF/41KB) |
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False Disclosure Statement
July 17, 2014: | Basic Guidelines on Disclosure Statements Inspection(Provisional Translation)(PDF/48KB) |
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(Following press release is available in Japanese)
Financial Instruments Businesses etc.
July 3, 2014: | Recommendation for an administrative action against G3 Co., Ltd. «Summary» The SESC recommended the Prime Minister and the Commissioner of the FSA to take an administrative action against G3 Co., Ltd. ("the Company"), a Type II Financial Instruments Business Operator and an Investment Advisory and Agency Business Operator. Based on the inspection of the Company, the SESC determined that the Company had solicited shares of foreign collective investment schemes through a number of unregistered sales agents. |
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July 3, 2014: | Petition for a court injunction against Grant Co., Ltd., the CEO and related key figures «Summary» The SESC filed a petition to the Osaka District Court for an injunction against Grant Co., Ltd. ("the Company") and the CEO and related key figures to prohibit and suspend its solicitation of shares of foreign collective investment schemes. Based on the investigation of the Company, the SESC identified the Company, the CEO and relevant key figures had solicited shares of foreign collective investment schemes without statutory registration. |
June 23, 2014: | Court injunction against UAG Co., Ltd. «Summary» In response to the petition filed by the SESC with the Osaka District Court for an injunction against UAG Co., Ltd., a Specially Permitted Business Notifying Person, to prohibit and suspend its solicitation of shares of collective investment schemes on June 6, 2014, a court order was issued as per the content of the petition. |