法人の立件検討　金商法の両罰規定で―ＳＭＢＣ日興相場操縦・東京地検

　株価維持を目的に相場操縦したとして、ＳＭＢＣ日興証券の幹部ら４人が金融商品取引法違反容疑で逮捕された事件で、東京地検特捜部が会社の刑事責任を問う同法の両罰規定の適用を検討していることが８日、関係者への取材で分かった。
　関係者によると、特捜部は逮捕された同社専務執行役員で元エクイティ本部本部長ヒル・トレボー・アロン容疑者（５１）ら４人が、会社の利益を追求する目的で業務として不正な買い支えをしたとみている。法人の責任も重いとして、立件も視野に捜査を進めるもようだ。（2022/03/08-10:59）

Tokyo prosecutors are considering seeking criminal charges against SMBC Nikko Securities Inc. over alleged stock price manipulation, using the dual liability clause under the financial instruments and exchange law, sources familiar with the investigation said Tuesday.
   The Tokyo District Public Prosecutors Office believes that a heavy responsibility lies on the Sumitomo Mitsui Financial Group Inc. unit, suspecting four employees of manipulating stock prices as part of their jobs for the sake of the company, the sources said.
   The dual liability clause allows a company to be charged together with an employee who committed a crime as part of corporate activities.
   Under the financial instruments and exchange law, the dual liability clause stipulates that a company faces a fine of up to 700 million yen when an executive or an employee manipulates stock prices as part of corporate activities or for a profit for the company, and not for personal gain.
   Trevor Hill, 51-year-old senior managing executive officer at SMBC Nikko and former head of the company's equity department, and three others have been arrested on suspicion of placing a large amount of buy orders to underpin prices for stocks of five companies between December 2019 and November 2020.