SESC Latest Topics No.14«July 2015»
Last Updated : July 21, 2015
SESC Latest Topics No.14«July 2015» | Last Updated : July 21, 2015 |
What’s New on the SESC Website
(Month of July 2015)
This page contains the latest in events, developments, and updates to the SESC website.
Topics
“Financial Instruments Business Operators under on-site inspection by the SESC”Available in Japanese
Press Releases
(Following press release is available in Japanese)
Financial Instruments Businesses etc.
July 17, 2015: | Notification of Inspection Result to Adnet Co., Ltd. «Summary» The Director-General of the Kanto Local Finance Bureau announced the results of an inspection of Adnet Co., Ltd. (“the Company”), a Specially Permitted Business Notifying Person. Based on the inspection of the Company, the Director-General of the Kanto Local Finance Bureau identified that it has unregistered operators solicit fund equities and has misappropriated funds. |
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July 3, 2015: | Petition for court injunction against Dream Japan Co., Ltd., and its manager. «Summary» The SESC filed a petition with the Tokyo District Court for injunction against Dream Japan Co., Ltd., (“the Company”) and its manager to prohibit and suspend them from conducting the following activities. Based on the investigation of the Company, the SESC identified that it engaged in brokering for sales and purchase of listed stocks and trading initial public offerings to customers without statutory registration. |
Market Misconduct
False Disclosure Statement