ＳＭＢＣ日興証券株式会社

Japanese only

ＳＭＢＣ日興証券株式会社· Corporate Number: 7010001125714

About this English name

No English name available. Original Japanese name is shown.

Enforcement records (1)

Sep 28, 2022RecommendationFinancial Instruments and Exchange ActSecurities and Exchange Surveillance Commission
The Securities and Exchange Surveillance Commission conducted an inspection of SMBC Nikko Securities Inc. (Chiyoda-ku, Tokyo, Corporate Number 7010001125714, President and CEO Yuichiro Kondo, capital 10 billion yen, 9,440 full-time employees, First and Second Type Financial Instruments Business, Investment Advisory and Agency Business, Investment Management Business). As a result, issues related to this financial instruments business operator were identified. Accordingly, today the Securities and Exchange Surveillance Commission advised the Prime Minister and the Commissioner of the Financial Services Agency to take administrative action pursuant to Article 20, Paragraph 1 of the Financial Instruments and Exchange Act.

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Language

日本語版を見る (Japanese)

Registry data

Corporate Number (法人番号): 7010001125714
Registered address: 東京都千代田区丸の内３丁目３番１号
Status: Active

For compliance use

This profile aggregates public Japanese government records. Always cross-reference the Corporate Number when matching this entity in your systems — Japanese English company names are often inconsistent across sources.