Surcharge Payment Order against 大成（株）
Action summary
- Company
- 大成（株）Japanese onlyOriginal: 大成（株）
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Surcharge Payment Order課徴金納付命令
- Action date
- December 21, 2022
- Penalty
- ¥210K (¥210,000)
- Issuing authority
- Financial Services Agency金融庁
Violation
The Financial Services Agency, based on the results of an inspection by the Securities and Exchange Surveillance Commission regarding recommendation actions related to a public tender offer by Taisei Corporation employees, received a recommendation for a payment order of surcharge. On September 16, 2022, a decision was made to initiate a trial procedure (Reiwa 4 (Han) No. 13 Financial Instruments and Exchange Act violation trial case). The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Item 17 of the Financial Instruments and Exchange Act (hereinafter referred to as the
Show original Japanese text
金融庁は、証券取引等監視委員会から大成（株）社員による公開買付けの実施に関する事実に係る推奨行為の検査結果に基づく課徴金納付命令の勧告を受け、令和4年9月16日に審判手続開始の決定（令和4年度(判)第13号金融商品取引法違反審判事件）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（以下「金商法」といいます。）第178条第1項第17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、以下のとおり決定を行いました。
Source
Original Financial Services Agency announcement (in Japanese)The original Japanese disclosure is the authoritative record.
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Language
日本語版を見る (Japanese)About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.