Surcharge Payment Order Records in Japan

The Consumer Affairs Agency issued an order to pay a surcharge to Excom Global Corporation regarding the display related to their mobile router rental service called 'Imoto no WiFi', based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

Based on the measure order issued by Saitama Prefecture on March 14, 2023, under Article 7, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations, a surcharge payment order was issued regarding the representations related to the service called "Beauty Pelvic Correction + Selectable Latest 5 Types of Slimming Diet" supplied at the store operated by Kumano Co., Ltd., called "Premium Body Balance."

On March 28, 2023, Tokyo issued a surcharge payment order based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations concerning the display related to the quasi-drug called 'Anlinkur' supplied by M&M Corporation, following a measure order issued under Article 7, Paragraph 1 of the same Act.

A surcharge payment order was issued to Hahaha Lab Co., Ltd. regarding the labeling of the functional food product called 'Meratt' supplied by the company, based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

Order for payment of surcharge against Forest Well Corporation under the Act against Unjustifiable Premiums and Misleading Representations

The Consumer Affairs Agency and the Fair Trade Commission (Kyushu Office) issued a surcharge payment order to Shin Nihon Enex Co., Ltd. based on their investigation into the representations related to solar power generation system equipment, including storage batteries supplied by the company, and the construction involved in their installation, in accordance with Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

The Saitama Prefecture issued a surcharge payment order to Yum Group Co., Ltd. based on the measures ordered under Article 7, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations on June 11, 2020. This pertains to the display related to the product called '3D Mask 30-Count Set' supplied by the company.

A surcharge payment order was issued based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations regarding the display of functional foods called 'Kinari Takumi' and 'Kinari Goku' supplied by the company.

A surcharge payment order was issued to Toa Sangyo Co., Ltd. regarding the display related to the product called 'Virus Shut Out' supplied by the company, based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

The Consumer Affairs Agency issued a surcharge payment order to Ad Power Solutions Corporation regarding displays related to products that claim to improve fuel efficiency of four-wheeled vehicles, based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

Decision to order payment of surcharge for false statements in the change report related to Sakai Holdings Co., Ltd. stocks

The Consumer Affairs Agency and the Fair Trade Commission issued a surcharge payment order to Hokkaido Electric Power Co., Inc. regarding representations related to retail supply transactions of household electricity and city gas supplied by the company, based on the results of their investigation and in accordance with Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

（株）日本創発グループ株式に係る相場操縦に対する課徴金納付命令の決定について

東京産業（株）における有価証券報告書等の虚偽記載に対する課徴金納付命令の決定について

有価証券報告書等の虚偽記載に対する課徴金納付命令の決定について

（株）ヨシムラ・フード・ホールディングスとの契約締結交渉者役員からの情報受領者による内部者取引に対する課徴金納付命令の決定について

公開買付者社員からの情報受領者による（株）Ｃ＆Ｆロジホールディングス株式に係る内部者取引に対する課徴金納付命令の決定について

特定道路清掃業務に係る入札談合等の行為に関与し、情報交換や協力を行っていたこと。

The Financial Services Agency, based on the inspection results regarding the dissemination of rumors related to Human Metabolome Technologies Inc. from the Securities and Exchange Surveillance Commission, issued a recommendation for a surcharge payment order. On August 2, 2024, a decision was made to initiate adjudication proceedings (Reiwa 6 Year (Han) No. 15 Financial Instruments and Exchange Act violation case). The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Item 12 of the Financial Instruments and Exchange Act (hereinafter referred to as 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 the provisions of Article 185-6 of the Financial Instruments and Exchange Act. Accordingly, a decision was made as follows.

クオンタムソリューションズ（株）における四半期報告書の虚偽記載に対する課徴金納付命令の決定について

On June 21, 2024, a decision was made to commence a trial procedure (Case No. 10 of the 2024 fiscal year, violation of the Financial Instruments and Exchange Act) following a recommendation from the Financial Instruments and Exchange Commission to impose a surcharge based on the results of an inspection of an employee involved in contract negotiations with Stream Media Corporation. 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 'Financial Instruments and Exchange Act') and the amount of surcharge payable. Based on this, a draft decision to order the payment of the surcharge was submitted by the trial judge pursuant to Article 185-6 of the Financial Instruments and Exchange Act, leading to the following decision.

大成建設（株）との契約締結者からの情報受領者による内部者取引に対する課徴金納付命令の決定について

Regarding the order to pay the surcharge, a correction decision was made on October 9, 2024, for the surcharge payment order decided on August 27, 2024 (PDF: 88KB).

Based on the results of an inspection regarding false accounting related to five investment units of Nomura Real Estate Master Fund Investment Corporation, a recommendation was made for a surcharge payment order. A decision was made to initiate a trial procedure. The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Item 12 of the Financial Instruments and Exchange Act and the amount of surcharge to be paid. Accordingly, a draft decision to order the payment of the surcharge was submitted based on the provisions of Article 185-6 of the Financial Instruments and Exchange Act. Therefore, it was ordered that the surcharge be paid into the national treasury.

Decision to order payment of administrative monetary penalty for false statements in quarterly reports at Ardepro Co., Ltd.

The Consumer Affairs Agency issued a surcharge payment order to Fujitsu Client Computing Limited regarding the display related to their supplied notebook computers, based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

Order to pay the surcharge to the national treasury as specified for the respondent.

（株）イメージワンにおける有価証券報告書等の虚偽記載に対する課徴金納付命令の決定について

（株）アクアラインにおける有価証券報告書等の虚偽記載に対する課徴金納付命令の決定について

Decision to order payment of surcharge for false statements in securities reports by Sakai Holdings Co., Ltd.

Decision to order payment of surcharge for failure to submit large shareholding reports related to Mitsuboshi Kabushiki Co., Ltd.

Order to Sincia Komuten Co., Ltd. to pay surcharge to the national treasury.

北信支部は、支部員が販売する特定揮発油について、その販売価格の改定額等を決定し、支部員に対し、当該決定に基づいて特定揮発油の販売価格の改定を実施させていた。

公開買付者との契約締結交渉者の職員から伝達を受けた者による日本道路株式に係る内部者取引の検査結果に基づく課徴金納付命令の勧告を受け、審判手続開始の決定を行ったところ、被審人から課徴金に係る金融商品取引法第178条第１項第16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。

（株）EduLabにおける有価証券報告書等の虚偽記載に対する課徴金納付命令の決定について

有価証券報告書等の虚偽記載に対する課徴金納付命令の決定について

有価証券報告書等の虚偽記載等に対する課徴金納付命令の決定について

Order the defendant to pay the surcharge to the national treasury as follows.

Order the respondent to pay the surcharge to the national treasury as described below.

The Consumer Affairs Agency and the Fair Trade Commission issued a surcharge payment order to Chugoku Electric Power Co., Inc. based on their investigation into the display of services related to retail supply of household electricity applying the 'Gutto Zutto. Plan Smart Course' and 'Gutto Zutto. Plan Simple Course' electricity rates.

Decision to order payment of surcharge for false statements in securities reports, etc.

Decision to order payment of surcharge for false certification of financial documents by Taiyo Limited Liability Audit Corporation

Based on the results of an investigation into insider trading by an employee who received information from a negotiator involved in contract negotiations with Stream Media Corporation, the Securities and Exchange Surveillance Commission recommended a surcharge payment order. On June 21, 2024, a decision was made to initiate a trial procedure (Reiwa 6 Year (Han) No. 9 Financial Instruments and Exchange Act Violation Trial Case). Subsequently, a draft decision was submitted by the judge to order the payment of the surcharge pursuant to Article 185-6 of the Financial Instruments and Exchange Act. The decision was made as described below.

（株）ウイルコホールディングスにおける有価証券報告書等の虚偽記載に対する課徴金納付命令の決定について

海外居住の個人投資家による大平洋金属（株）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６年１月19日に審判手続開始の決定（令和５年度(判)第17号金融商品取引法違反審判事件）を行い、今般、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。

Decision to modify the order for payment of surcharge related to false statements in securities reports concerning Nissan Motor Co., Ltd.

日本トレクスは、独占禁止法違反により販売価格の合意を行い、競争を制限した行為について課徴金を命じられた。

Order to pay the surcharge to the national treasury as specified to the respondent.

The Securities and Exchange Surveillance Commission recommended a payment order for a surcharge based on the results of an inspection related to stabilization operations concerning Oomori Kogyo Co., Ltd. After initiating the adjudication process, the respondent submitted a statement acknowledging the facts listed in Article 178-1, Item 15 of the Financial Instruments and Exchange Act and the amount of surcharge to be paid. In response, the presiding judge submitted a draft decision to order the payment of the surcharge pursuant to Article 185-6 of the same Act. Consequently, a decision was made to impose the surcharge.

Decision on payment order of surcharge for false statements in securities reports, etc.

Decision to order payment of surcharge for false statements in securities reports by Yamauura Co., Ltd.

Decision to order payment of surcharge for false statements in securities reports by Kyokutou Co., Ltd.

（株）フィスコにおける有価証券報告書等の虚偽記載に対する課徴金納付命令の決定について

豊田合成（株）との契約締結者社員による内部者取引に対する課徴金納付命令の決定について

（株）クシムにおける有価証券報告書等の虚偽記載に対する課徴金納付命令の決定について

公開買付け等に係る株式発行者社員によるEPSホールディングス（株）株式に係る内部者取引に対する課徴金納付命令の決定について

Based on the results of an investigation into insider trading involving an employee of Nagoya Denki Kogyo Co., Ltd., a recommendation was made for a surcharge payment order. Subsequently, a decision was made to initiate an administrative hearing procedure. The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Item 16 of the Financial Instruments and Exchange Act and the amount of surcharge payable. In response, the presiding officer proposed a draft decision to order the payment of the surcharge pursuant to Article 185-6 of the Act. Accordingly, a final decision was made.

Order to pay the surcharge to the national treasury as specified for the respondent.

The company Baumkuchen was ordered to pay a surcharge based on the Act against Unjustifiable Premiums and Misleading Representations regarding the labeling of the pet supplement called 'Eyes One' supplied by the company, following investigations by the Consumer Affairs Agency and the Fair Trade Commission (Kyushu Office).

Order to pay the surcharge to the national treasury as specified for the respondent.

The Financial Services Agency decided to impose a surcharge payment order regarding insider trading by an overseas resident communicated by ZOZO Inc. employees. The Securities and Exchange Surveillance Commission recommended the surcharge payment order based on inspection results received from ZOZO Inc. employees. On October 13, 2023, a decision was made to initiate a trial procedure under the Act on Regulation of Conduct in Financial Instruments Transactions (Reiwa 5, No. 8), and the trial has been conducted by three judges. Recently, a draft decision to order the payment of the surcharge was submitted by the judges based on Article 185-6 of the Financial Instruments and Exchange Act. The decision was made as follows.

A surcharge payment order was issued based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations concerning the display related to the ordinary automobiles supplied by the company and the package option called 'AMG Line'.

公正取引委員会は、株式会社電通グループに対し、独占禁止法第63条第1項の規定に基づき、課徴金納付命令に係る課徴金額を変更する決定を行った。

The Consumer Affairs Agency issued a surcharge payment order to T-Life Corporation based on the results of an investigation into the labeling of the food product called 'Metabo Mecha' supplied by the company, pursuant to Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

Decision to impose a surcharge payment order for false statements in securities reports, etc.

Order to pay the surcharge to the national treasury as specified to the respondent.

A surcharge payment order was issued to Tokyo Marui Co., Ltd. regarding the display related to BB bullets for air guns supplied by the company, based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

Decision to order payment of surcharge regarding recommended acts by negotiators of AlphaX Food System Co., Ltd.

（株）創建エースにおける有価証券報告書等の虚偽記載に対する課徴金納付命令の決定について

岩崎通信機（株）との契約締結者役員による重要事実に係る伝達の検査結果に基づく課徴金納付命令の勧告を受け、審判手続開始の決定を行ったところ、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、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、決定を行った。

（株）オカムラ食品工業株式外５銘柄に係る特殊見せ玉を用いた偽計に対する課徴金納付命令の決定について

The Financial Services Agency decided to order Yamaha Corporation to pay a surcharge related to market manipulation of its stock. The decision followed a recommendation from the Securities and Exchange Surveillance Commission based on inspection results. On November 11, 2021, a hearing process was initiated (Case No. 5 of 2021, violation of the Financial Instruments and Exchange Act). The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Item 14 of the Financial Instruments and Exchange Act and the amount of surcharge to be paid. Based on this, a draft decision to order payment of the surcharge was submitted by the adjudicator pursuant to Article 185-6 of the Act. The decision was made as described below. For details, see the summary of the decision (PDF: 217KB).

Decision to order payment of surcharge for false statements in securities reports, etc.

Order the respondent to pay the surcharge to the national treasury as specified below.

Decision to order payment of surcharge for false statements in securities reports by GALA Corporation

Based on the results of an investigation into market manipulation related to long-term government bond futures, a recommendation was made for a surcharge payment order. After initiating the adjudication process, the respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Item 14 of the Financial Instruments and Exchange Act and the amount of surcharge to be paid. In response, the presiding judge submitted a draft decision to order the payment of the surcharge pursuant to Article 185-6 of the same Act. Consequently, a decision was made to impose the surcharge.

Decision to impose a surcharge payment order for insider trading by an information recipient from MINKABU THE INFONOID Co., Ltd. officers

（株）アルファクス・フード・システムにおける有価証券報告書等の虚偽記載等に対する課徴金納付命令の決定について

Decision to order payment of surcharge for failure to submit large shareholding reports related to Sakai Holdings Co., Ltd.

Decision to order payment of surcharge regarding specific involvement in false disclosure documents submitted by D.D.S. Corporation.

The Consumer Affairs Agency issued a surcharge payment order to Leck Corporation today regarding the display related to the product called 'Noro-Will Valsan' supplied by the company, based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

Based on the results of an inspection revealing false statements in securities reports filed by Amana Corporation, a recommendation was made for a surcharge payment order. A decision was made to initiate a trial procedure. The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Item 4 of the Financial Instruments and Exchange Act and the amount of surcharge payable. In response, the presiding judge submitted a draft decision to order the payment of the surcharge pursuant to Article 185-6 of the same Act. Consequently, a final decision was made to impose the surcharge.

Decision on payment order of surcharge for false statements in securities reports, etc.

Ordered the defendant to pay a surcharge of 270,000 yen to the national treasury as specified.

The Consumer Affairs Agency issued a surcharge payment order to Marukyu Co., Ltd. regarding the representations related to four fishing lure products supplied by the company, based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

Order to pay the surcharge to the national treasury as specified for the respondent.

Order to pay the surcharge to the national treasury as specified for the respondent.

Banzan Co., Ltd. was issued a surcharge payment order regarding the representations related to the services called 'Megasta High School Student', 'Megasta Junior High School Student', and 'Megasta Private', which are online individual instruction services supplied by the company, based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

The Consumer Affairs Agency issued a surcharge payment order to Okinawa Tokusan Hanbai Corporation regarding the labeling of a food product called 'Yoryoku Keiso' based on investigation results and in accordance with Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

Based on the results of an inspection related to the transmission from the Securities and Exchange Surveillance Commission concerning the facts related to the implementation of a public tender offer by employees of N-Field Co., Ltd., a recommendation was made for a surcharge payment order. A decision was made to initiate a trial procedure. The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Item 17 of the Financial Instruments and Exchange Act and the amount of surcharge to be paid. In response, the presiding judge submitted a draft decision to order the payment of the surcharge based on Article 185-6 of the Act. Accordingly, a decision was made.

Decision to order payment of surcharge for false statements in securities reports, etc.

Order to pay the surcharge to the national treasury as specified for the respondent.

Order to pay the surcharge to the national treasury as specified to the respondent.

A surcharge payment order was issued to W-ENDLESS Corporation regarding the labeling of the food product called 'Dr. Miso Soup' supplied by the company, based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

The Consumer Affairs Agency issued a surcharge payment order to Daiki Seiyaku Co., Ltd. regarding the labeling of products supplied by the company, including 'Willoff Strap Type,' 'Willoff Magnet Type,' and 'Willoff Hanging Type,' based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

The Consumer Affairs Agency issued a surcharge payment order to Daiko Pharmaceutical Co., Ltd. regarding the labeling of products including 'Kureberein Stationary 60g', 'Kureberein Stationary 150g', 'Kureberein Stick Pen Type', 'Kureberein Stick Hook Type', 'Kureberein Spray', and 'Kureberein Mini Spray', based on Article 8, Paragraph 1 of the Act against Unjustifiable Premiums and Misleading Representations.

Order the respondent to pay the surcharge to the national treasury as follows.

Order to pay a surcharge based on the Act against Unjustifiable Premiums and Misleading Representations to Excom Global Corporation

Decision to impose a surcharge payment order for false statements in securities reports, etc.

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