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Financial Services Agency

Year 2000Regulated by Government

The Financial Services Agency (FSA) oversees all financial services providers, including Forex brokers, in Japan. The ultimate aim of Japan's FSA is to maintain the country’s financial system and ensure its stability. It is also responsible for protecting security investors, insurance policyholders, and depositors. It achieves its aims in a number of different ways including planning and policy making, supervising financial services providers, overseeing securities transactions, and inspecting financial institutions in the private sector. When the FSA was first created it was merely an administrative body. However, its responsibilities were widened in 2001 when it became the external representative of the Cabinet Office of Japan. It took over the responsibilities of the Financial Reconstruction Committee, and also took over responsibility for failed financial institutions.Today, the FSA Japan is held accountable to the Japanese Minister of Finance and enjoys a wide scope of responsibility.

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Warning Business adjustment
Disclosure summary
  • Disclosure matching Supervision number matching
  • Disclosure time 2003-07-02
  • Reason for punishment An act of trading a series of securities to create an artificial market price that does not reflect the prevailing market price.
Disclosure details

Administrative action against Tokai Tokyo Securities Co., Ltd.

July 2, 2003 Financial Services Agency Tokai Tokyo Administrative actions against joint-stock companies 1. Tokai Tokyo As a result of the inspection by the Securities and Exchange Surveillance Commission, the following facts of legal violations were recognized, and a recommendation was made to seek administrative action (opens in a new window on June 23, 2003). The act of conducting a series of trading transactions of securities to form an artificial market price that does not reflect the prevailing market price. A series of limit buy or sell orders without intention to be executed with the intention of moving the stock price of the stock in its own favor by soliciting orders from other market participants. gone. The above acts by the Company and its employees are deemed to fall under Article 4, Item 3 of the Cabinet Office Ordinance on Act Regulations, etc. of Securities Companies based on Article 42, Paragraph 1, Item 9 of the Securities and Exchange Law. 2. Based on the above, the following administrative actions were taken against the company today. (1) Business suspension order During the period from July 7, 2003 to July 18, 2003 (10 days), stock trading business on own account (performance of existing contracts before July 4, 2003) (excluding trading associated with). (2) Business improvement order ○Enhancement and strengthening of the internal control system, thorough legal compliance by officers and employees, and clarification of where responsibilities lie. ○ Fundamental review of the trading management system, formulation of specific measures, and formulation and thorough implementation of measures to prevent recurrence.
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