Surcharge Payment Order against K.K. GNI
Action summary
- Company
- K.K. GNIRomanizedOriginal: 株式会社GNI
- 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
- February 25, 2022
- Penalty
- ¥17M (¥16,670,000)
- Issuing authority
- Financial Services Agency金融庁
Violation
The Financial Services Agency, based on the results of a market manipulation investigation into GNI Group Inc. and one other stock by the Securities and Exchange Surveillance Commission, issued a recommendation for a surcharge payment order. On December 21, 2021, a decision was made to commence adjudication proceedings (Reiwa 3rd Year (Han) No. 8, Financial Instruments and Exchange Act violation case). The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Item 14 of the Financial Instruments and Exchange Act (hereafter referred to as [Kinshoho]) and the amount of surcharge payable. Following this, the adjudicator received a draft decision to order the payment of the surcharge based on Article 185-6 of the Kinshoho. Accordingly, a decision was made as described below.
Show original Japanese text
金融庁は、証券取引等監視委員会から（株）ジーエヌアイグループ株式外1銘柄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、令和3年12月21日に審判手続開始の決定（令和3年度(判)第8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、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.
Watch this company
Get an email when K.K. GNI has new enforcement actions or registry changes (representative, address, business status). Sign-in is via a one-time email link — no password.
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.