Recommendation against 株式会社ＳＢＩ証券
Action summary
- Company
- 株式会社ＳＢＩ証券Japanese onlyOriginal: 株式会社ＳＢＩ証券Corporate Number: 3010401049814
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- December 15, 2023
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
Violation
The act of accepting purchase orders related to listed financial products while knowing that such actions could artificially influence the market prices of those products, causing the prices to not reflect actual market conditions. Specifically, between December 2020 and September 2021, the company solicited customers to purchase at the public offering price with a limit order before the listing day, and received and executed purchase orders for 2,256,600 shares.
Show original Japanese text
取引所金融商品市場における上場金融商品の相場を変動等させることにより実勢を反映しない作為的なものとなることを知りながら、当該上場金融商品に係る買付けの受託等をする行為。具体的には、令和2年12月から令和3年9月までの間に、上場日当日の寄付前までに公募価格と同価格の指値で買付けを行うことを勧誘し、顧客から225万6600株の買付注文を受託・執行した。
Source
Original Securities and Exchange Surveillance Commission announcement (in Japanese)The original Japanese disclosure is the authoritative record.
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Language
日本語版を見る (Japanese)Company info
- English name
- 株式会社ＳＢＩ証券 Japanese only
- Japanese name
- 株式会社ＳＢＩ証券
- Corporate Number
- 3010401049814
- Registered address
- 東京都港区六本木１丁目６番１号
About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.