Enforcement record
Surcharge Payment Order disclosure naming ユー・エム・シー・エレクトロニクス株式会社
This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.
Action type
Surcharge Payment Order
Law
Financial Instruments and Exchange Act
Authority
Financial Services Agency
Action date
9 April 2021
Current page: Enforcement record
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Source verification
Public-source and preservation status
- Publishing authority
- Financial Services Agency
- Official source URL
- Recorded by RegBase
- Entity match
- Not confirmed; shown under the published name
- Kiroku preservation
- Queued for preservation
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Action summary
- Company
- ユー・エム・シー・エレクトロニクス株式会社Japanese onlyOriginal: ユー・エム・シー・エレクトロニクス株式会社
- 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
- 9 April 2021
- Penalty
- ¥396M (¥396,150,000)
- Issuing authority
- Financial Services Agency金融庁
Violation
The Financial Services Agency, based on a recommendation from the Securities and Exchange Surveillance Commission for a surcharge payment order related to false statements in securities reports by U.M.C. Electronics Co., Ltd., initiated adjudication procedures on February 2, 2021 (Reiwa 2nd year, case number 18, violation of the Financial Instruments and Exchange Act). The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Items 2 and 4 of the Financial Instruments and Exchange Act and the amount of surcharge payable. Following this, the adjudicator submitted a draft decision to order the payment of the surcharge based on Article 185-6 of the same Act. Accordingly, a decision was made as follows.
Show original Japanese text
金融庁は、証券取引等監視委員会からユー・エム・シー・エレクトロニクス（株）における有価証券報告書等の虚偽記載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2月2日に審判手続開始の決定（令和2年度(判)第18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２号及び第４号に掲げる事実並びに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。
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Compliance context
Medium-highA formal administrative order requiring payment of a monetary surcharge.
Financial markets law covering securities, investment services, disclosure, and market conduct.
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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.