Surcharge Payment Order against K.K. Saikawu Zhu Shi
Action summary
- Company
- K.K. Saikawu Zhu ShiRomanizedOriginal: 株式会社さいか屋株式
- 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 8, 2021
- Penalty
- ¥13M (¥13,340,000)
- Issuing authority
- Financial Services Agency金融庁
Violation
The Financial Services Agency, based on a recommendation from the Securities and Exchange Surveillance Commission regarding a penalty payment order related to Sakaeya Co., Ltd., initiated adjudication procedures on September 18, 2020, under the case number Heisei 2-nen (Han) No. 9, for violations of the Financial Instruments and Exchange Act. Since then, three adjudicators have conducted proceedings. Recently, a draft decision to order the payment of the penalty was submitted by the adjudicators based on Article 185-6 of the Financial Instruments and Exchange Act. The 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）さいか屋株式に係る安定操作の検査結果に基づく課徴金納付命令の勧告を受け、令和2年9月18日に審判手続開始の決定（令和2年度(判)第9号金融商品取引法違反審判事件）を行い、以後審判官3名により審判手続が行われてきましたが、今般、審判官から金融商品取引法第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.