ＳＭＢＣ日興に罰金７億円　「市場の門番、立場重い」―相場操縦認定、追徴４４億円も・東京地裁

　ＳＭＢＣ日興証券の相場操縦事件で、株価安定のため自社資金で株を買い支えたとして、金融商品取引法違反罪に問われた元執行役員の杉野輝也被告（５７）と、法人としての同社の判決が１３日、東京地裁であった。神田大助裁判長は杉野被告を懲役１年６月、執行猶予３年（求刑懲役１年６月）とし、同社に罰金７億円、追徴金約４４億円（同罰金１０億円、追徴金約４４億円）を言い渡した。
　計６人が同法違反罪に問われ、起訴内容を認めた杉野被告と同社の審理が先行した。裁判長は複数の幹部が計１０銘柄で違法な安定操作に関与したと認め、「市場のゲートキーパー（門番）として取引の公正や投資家の保護などを果たすべき立場にあり、非難の程度は一層重い」と述べた。（2023/02/13-16:27）

Tokyo District Court on Monday handed down a fine of 700 million yen and an additional penalty of some 4.4 billion yen to SMBC Nikko Securities Inc. over stock price manipulation.
   The court, presided by Judge Daisuke Kanda, also sentenced former SMBC Nikko Executive Officer Teruya Sugino, 57, to 18 months' imprisonment, suspended for three years, for violating the financial instruments and exchange law.
   Prosecutors had sought a fine of 1 billion yen and an additional penalty of about 4.4 billion yen for the brokerage unit of Sumitomo Mitsui Financial Group Inc. , and an unsuspended prison sentence of 18 months for Sugino.
   According to the indictment, Sugino was suspected of conspiring with those including a subordinate, Makoto Yamada, 45, former head of SMBC Nikko's equity division, to place orders to buy 320,000 shares in Koito Manufacturing Co. with company funds in December 2019 to prop up the automotive lighting manufacturer's stock price. The transaction was carried out in relation to a so-called block offer scheme, in which brokerage houses buy large amounts of shares from major shareholders and sell them to investors in off-hours trading.
   Yamada and others are suspected of seeking to stabilize stock prices by placing buy orders for a total of some 1.67 million shares in 10 issues. SMBC Nikko was indicted under the so-called dual liability rule, which holds the employer responsible for illegal acts by its employees.