2022.12.20 18:00Nation

SMBC日興の取引一部停止 過怠金3億円、相場操縦で東証

 東証は20日、SMBC日興証券の相場操縦事件を受け、同社に対して来年1月16~20日の5日間、自己勘定による有価証券売買を停止し、過怠金3億円を支払うよう命じる処分を発表した。市場の信頼性に与えた影響の大きさを重視し、売買停止期間、過怠金ともに過去最大とした。
 業務改善報告書の提出も求めた。大阪取引所も同社を戒告処分とした。(2022/12/20-18:00)

2022.12.20 18:00Nation

TSE Imposes Penalties on SMBC Nikko over Market Manipulation


The Tokyo Stock Exchange said Tuesday that it has ordered SMBC Nikko Securities Inc. to suspend proprietary transactions of securities for five days from Jan. 16 next year and pay 300 million yen, as penalties over a stock price manipulation case.
   The TSE imposed the longest suspension and the biggest penalty money ever, in view of the impact the misconduct had on market reliability.
   The TSE also instructed the brokerage unit of Sumitomo Mitsui Financial Group Inc. to submit a business improvement report.
   The Osaka Exchange, meanwhile, reprimanded SMBC Nikko.
   In 2019 to 2021, SMBC Nikko is believed to have used the company's own funds to illegally shore up the prices of 10 stocks that were subject to so-called block offer trades, in which brokerage houses usually buy large amounts of shares from major shareholders and sell them to individual investors in off-hours trading.

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