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大阪取引所および東京証券取引所による処分について

Regarding the actions taken by the Osaka Exchange and the Tokyo Stock Exchange.

Nomura Holdings ·  Dec 15, 2024 23:00
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Regarding the actions taken by the Osaka Exchange and the Tokyo Stock Exchange.

December 16, 2024

Nomura Securities Co., Ltd.

On October 30, 2024, a payment order for a penalty was issued by the Financial Services Agency, related to actions regarding the government bond Futures trading in March 2021. Today, our company received a fine of 60 million yen from Osaka Exchange and a suspension of self-account government bond Futures trading and government bond Options Trading from December 25 to 27, 2024, as well as a reprimand from Tokyo Stock Exchange.

We take this situation very seriously and sincerely apologize for the significant inconvenience and concern caused to our customers and all parties involved.

In the future, by steadily running the measures to prevent recurrence announced on October 31, 2024, the company aims to further strengthen and enhance its compliance system and internal management system, and to work toward preventing the recurrence of such incidents and restoring trust.

Please refer to the News of individual stocks released on October 31, 2024, regarding the payment order for penalty against Nomura Securities by the Financial Services Agency.
Please refer to the News of individual stocks released on October 31, 2024, regarding the measures to prevent recurrence related to the recommendations by the Securities and Exchange Surveillance Commission.

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