www.fsa.go.jp/sesc/news/c_2022/2022/20220928-1.html
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ＳＭＢＣ日興証券株式会社に対する検査結果に基づく勧告について
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https://www.fsa.go.jp/sesc/news/c_2022/2022/20220928-1.html
About this page
This page describes a recommendation by the Securities and Exchange Surveillance Commission regarding inspection results of SMBC Nikko Securities. The company conducted illegal purchases of 10 listed stocks to maintain prices in Block Offering transactions. Issues identified include inadequate trading surveillance systems targeting only multi-day trades, Block Offerings not being subject to event audits, and salespeople disclosing execution dates to customers. These violations stemmed from management's insufficient risk awareness and failure to enhance systems and compliance frameworks despite increased trading review volume.
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