|
SESC monitors Web for trading fraud. (The Pulse). (Securities and Exchange Surveillance Commission of Japan on online trading of stocks).(Brief Article)
From:
Japan Inc.
| Date:
September 1, 2002
| COPYRIGHT 2002 Japan Inc. Communications. This material is published under license from the publisher through the Gale Group, Farmington Hills, Michigan. All inquiries regarding rights should be directed to the Gale Group.Copyright information
|
The Securities and Exchange Surveillance Commission of Japan is now monitoring the spread and effect of online stock rumors on the Tokyo market. The system by Fujitsu has been in effect since April and apparently keeps tabs on Web sites showing spikes in traffic. It was...
Related newspaper, magazine, and journal articles from HighBeam Research
|
Garban hit by five-day Tokyo ban
The Independent - London
; GARBAN-INTERCAPITAL was yesterday ordered to shut its Tokyo operations for five days next month. The broker- dealer was also banned from buying and underwriting Japanese government bonds during that period. The ban follows a ruling by Japan's Securities and Exchange Surveillance Commission last
|
|
Nomura Securities Accused of Illegal Payments; Japanese Firm, 3 Former Officials Said to Have Funneled Money to Corporate Racketeer
The Washington Post
; ... Koike, who formerly headed a sokaiya group, according to Japanese news reports. Nomura allegedly was particularly nervous about the ... to Kojin Building to ensure a successful meeting, according to news reports. In March, Nomura officials acknowledged that Matsuki ...
|
|
|
Tokyo watchdog raps DKB
The Independent - London
; JAPAN'S Securities and Exchange Surveillance Commission is recommending that disciplinary action be taken against Dresdner Kleinwort Benson, the City investment bank, for falsifying reports on mispriced client trades. The exact action will now have to be decided by the Ministry of Finance, to whom
|
|
NSSB given 20 day trade ban over share ploy.
Financial News
; Nikko Salomon Smith Barney, the Japanese investment bank 49% owned by Citigroup, was banned from trading on its own account for 20 business days on Tuesday for share price manipulation.The Financial Services Agency, the main regulator, acted after a Securities and Exchange Surveillance Commission
|
 "Futures (Cedar Falls, Iowa)")
|
Pass the saki.(Pacific Rim)(Brief Article)
Futures (Cedar Falls, Iowa)
; The Osaka Securities Exchange could not avoid charges from The Securities and Exchange Surveillance Commission over alleged false equity options trading that occurred between 1998 and 2000 that were organized by recently indicted former VP Takuo Noguchi. Despite having launched its own
|
|
|
Nomura's pounds 2bn payment broke the law
The Independent - London
; Nomura Securities broke the law when it paid pounds 2m to a gangster, Japanese financial regulators said, following a 10-month investigation of Japan's largest brokerage. The Securities and Exchange Surveillance Commission alleged that executives in several departments at Nomura co-operated in
|
 "Kyodo News International (Tokyo, Japan)")
|
Nihon Keizai employee arrested over insider trading.
Kyodo News International (Tokyo, Japan)
; ... transactions in his bank account. To see more of Kyodo News International, go to http://www.kyodonews.com Copyright (c) 2006, Kyodo News International, Tokyo Distributed by McClatchy-Tribune Business News. For reprints, email tmsreprints@permissionsgroup ...
|
|
Japan slaps Morgan Stanley. (Global Markets).(Brief Article)
Research
; THE TOKYO version of the SEC is getting tough on U.S. brokerage firms that violate trading rules. The Securities and Exchange Surveillance Commission (SESC) recently charged Morgan Stanley's Japanese office with placing artificially depressed short-sell orders out of its own accounts. Morgan
|
 "The Evening Standard (London, England)")
|
JP Morgan faces Japanese penalty.
The Evening Standard (London, England)
; US investment bank JP Morgan Chase has become the latest foreign brokerage to face punishment for allegedly breaking Japanese trading regulations. Japan's Securities and Exchange Surveillance Commission is seeking an administrative penalty to be imposed on the bank by the Financial Services Agency.
|
|
JP Morgan faces Japanese penalty
Evening Standard - London
; US investment bank JP Morgan Chase has become the latest foreign brokerage to face punishment for allegedly breaking Japanese trading regulations. Japan's Securities and Exchange Surveillance Commission is seeking an "administrative penalty" to be imposed on the bank by the Financial Services
|