SESC Latest Topics No.35«May 2017»
Last Updated : May 12, 2017
What’s New on the SESC Website
(Month of May 2017)
This page contains the latest in events, developments, and updates to the SESC website.
Press Releases
(Following press release is available in Japanese)
Financial Instruments Businesses etc.
| May 12, 2017: | Recommendation for an administrative action against Asset Planning Corporation. «Summary» The SESC recommended that the prime minister and the commissioner of the FSA take an administrative action against Asset Planning Corporation (“the Company”), a Type II Financial Instruments Business Operator and an Investment Advisor/Agency.Based on an inspection of the Company, the SESC identified that the Company had (i) responded with false reporting to an order for the production of reports, (ii) evaded the inspection, (iii) failed to make reports or submit materials, and (iv) failed to be adequately staffed to properly conduct financial instruments business. |
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