{"data":[{"id":"eec722f7-a966-4180-8b53-9e9bc30635e7","company_name":"野村證券株式会社","company_name_en":null,"corporate_number":null,"authority":"金融庁","authorities":["金融庁"],"authority_count":1,"action_types":["課徴金納付命令"],"regional_record_count":1,"source_document_count":1,"law_name":"金融商品取引法","action_type":"課徴金納付命令","action_date":"2024-01-06","announcement_date":"2026-03-14","violation_summary":"長期国債先物に係る相場操縦の検査結果に基づく課徴金納付命令の勧告を受け、審判手続開始の決定を行ったところ、被審人から課徴金に係る金融商品取引法第178条第１項第14号に掲げる事実及び納付すべき課徴金の額を認める旨の答弁書の提出があり、これを受けた審判官から金商法第185条の６の規定に基づき、課徴金の納付を命ずる旨の決定案が提出されたことから、決定を行った。","violation_summary_en":"Based on the results of an investigation into market manipulation related to long-term government bond futures, a recommendation was made for a surcharge payment order. After initiating the adjudication process, the respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Item 14 of the Financial Instruments and Exchange Act and the amount of surcharge to be paid. In response, the presiding judge submitted a draft decision to order the payment of the surcharge pursuant to Article 185-6 of the same Act. Consequently, a decision was made to impose the surcharge.","penalty_amount":21760000,"is_verified":false,"record_verified":false,"entity_match":{"status":"unresolved","confidence":85,"method":"nta_strict_name_nationally_unique","notes":"A current-policy Corporate Number match to a verified company profile is not available."},"human_review_status":"unreviewed","source_url":"https://www.fsa.go.jp/news/r6/shouken/20241031-4.html","url":"https://regbase.jp/enforcement/kinshoho-ye-cun-zheng-quan-20240106"}],"meta":{"query":"野村證券株式会社","corporate_number":null,"law":null,"authority":null,"action_type":null,"count":1,"api_docs":"https://regbase.jp/api-docs","openapi_schema":"https://regbase.jp/api/openapi.json","llms":"https://regbase.jp/llms.txt","usage_note":"Use RegBase for targeted public-source screening of Japanese companies and enforcement records. Absence of returned records is not a clearance, legal opinion, sanctions result, or credit decision.","rate_limit":{"limit":10,"window_seconds":60,"remaining":4,"reset_at":"2026-08-21T07:10:28.805Z"},"daily_rate_limit":{"limit":300,"window_seconds":86400,"remaining":84,"reset_at":"2026-08-22T07:09:28.805Z"}}}