Tokyo Stock Exchange (hereinafter, "TSE") has imposed disciplinary action (fine of JPY 200 million) against Nomura Securities Co., Ltd. (hereinafter, the "Company") pursuant to the provisions of Rule 34, Paragraph 2 of the Trading Participant Regulations.
Additionally, TSE has requested the submission of a business improvement report pursuant to the provisions of Rule 19 of the Trading Participant Regulations.
The business improvement report shall include:
- Proper implementation/promotion of measures to prevent reoccurrence in the in-company survey report.
- Regular reporting of status of implementation of measures to prevent reoccurrence.
- Regular inspection of the effectiveness of measures to prevent reoccurrence and reporting of such inspection results.