大和证券

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2.客户证券交易的管理状况足以防止与公司信息相关的不正当交易 视为不属于的情形 3.接受委托的行为未根据身份验证法进行身份验证而买卖客户证券的行为","RegId":"202211150727092638","Content":"2006 年 12 月 1 日金融服务局 大和证券关于对股份公司的行政处罚 大和证券经证券交易监督委员会对该股份公司的检查，认定其违法事实如下，并建议采取行政措施（opens in a new window）（2006年11月22日）。 （一）明知存在内幕交易风险，委托客户买卖证券的行为 大和证券姬路支店投资银行业务副经理A（以下简称“副经理A”）关于10月4日在证券公司姬路支店开立的c公司名下账户中两次合计1500股的认购订单2005年6月6日，证券交易法第166条规定，明知有违反第1条第1项规定之风险，未采取必要措施而接受相关采购订单之情形如下：措施，例如请求寄售订单。 (a) 因有以c公司等名义开户的历史，怀疑该户口是以b公司职员名义开户。 (b) 在收到采购订单时，他知道有一个未披露的重要事实，即公司 b 将进行股票分割。 (c) 怀疑采购订单是由 b 公司的一名高级职员下达的，而该订单是由公司的另一位高级职员下达的。证券公司及副科长a的上述行为，根据《证券法》第42条第1项第10项，被认定为涉及证券公司行为规定等的内阁府令第4条第8项。交易法。完成。 (2) 认为客户证券交易的管理状况不足以防止与公司信息相关的不正当交易的情况。我在知道存在交易风险的情况下被委托买卖客户的证券. 大和证券姬路支店长d（入职期间：2001年4月至2004年12月；以下简称“d支店长”）及其继任支店长e（同：2004年12月至2006年12月）至2009年3月。以下简称“支店”经理e”）在没有采取充分措施防止内幕交易的情况下开展业务，如下所示。 (a) 分行经理 d 没有采取足够的措施来防止与其业务有关的内幕交易，具体如下。 B. 尽管公司原则上被指示禁止投资银行人员作为一般规则负责证券交易业务，副科长a却以c公司名义的账户进行交易。我指示并接受我负责接受订单。关于以c公司名下的账户买卖b公司股票，我担心从内幕交易等角度需要谨慎，所以我会小心a副经理的内幕交易等不过，他并没有对分行内部管理人员作出同样的指示，也没有亲自确认同一账户下b公司股票的交易情况等。 (b) 分公司经理e确认c公司为b公司的介绍客户，继续购买b公司的股份，尽管负责委托且知悉(1)、(b)所述重大事实的存在) 以上，没有采取足够的措施来防止内幕交易。证券公司的上述业务，分公司经理d和e未采取必要措施而从事业务的情况，由内阁府根据证券公司行为规范第43条第2项认定。证券交易法 被认定为政令第10条第4项。 (3) 副董事 A 未根据《身份验证法》进行身份验证而接受客户买卖证券的指令，尽管怀疑是与a 借用b公司管理人员的姓名，仅进行了正式的账户身份识别，金融机构等对客户等和存款账户等的身份识别未按本条例规定进行身份验证防止未经授权使用法证券公司及副科长a所实施的上述行为为《存款账户等非法使用防止及客户本人确认施行法》第3条第1款第29项规定。金融机构等在进行“交易对方涉嫌以交易名义冒充本人的情况下进行交易”时属于不进行身份验证的行为，金融机构等被认定为违反不正当使用防止法第三条第一项规定。综上所述，本日决定根据证券交易法第56条第1项及存款账户不正当使用防止法第9条等规定，向本公司提供贷款。金融机构等进行客户身份验证，并采取了以下管理措施： 1. 2006年12月19日至2006年12月20日，在姬路分行的业务中，受证券交易法第166条限制的证券交易相关委托业务（经本公司批准的除外） ). 2.业务改进命令和纠正命令 (a) 彻底审查姬路支店的内部控制系统。 （二）明确造成本次行政处分的事实由谁负责。 (c) 验证我们分支机构的内部控制系统，以及制定和实施防止再次发生的措施。 (d) 通过培训等，彻底提高全体管理人员和员工的守法意识。 3.以上2项，请于2007年1月4日（星期四）前提交书面答复。","Title":"对大和证券株式会社的行政诉讼","category":"3","RegTime":"2006-12-01T00:00:00","RuleName":"监管号匹配","Tag":{"TagName":"Sanction","Color":"#9B273A","Category":"3","Language":"en","Logo":"https://img.fx696.com/test/bg/638017088565349598/FXR638017088565349598_235021.png_wiki-template-global"},"CreateTime":"2022-11-15T07:27:09","wiki_timestamp":1164931200000}]}]}},"openAccount":null,"tradeEnv":{"TotalDescribe":null,"name":null,"logo":null,"Grade":null,"SpeedGrade":null,"FastestSpeed":null,"FastestSpeed_Open":null,"FastestSpeed_Close":null,"SlowestSpeed":null,"SlowestSpeed_Open":null,"SlowestSpeed_Close":null,"SpeedOverRate":null,"SlipGrade":null,"AveSlip":null,"MaxSlip":null,"MaxSlip_Positive":null,"MaxSlip_Negative":null,"SlipOverRate":null,"CostGrade":null,"AveCost_wh":null,"AveCost_xau":null,"CostOverRate":null,"SwapGrade":null,"AveLongSwap_wh":null,"AveShortSwap_wh":null,"AveLongSwap_xau":null,"AveShortSwap_xau":null,"SwapOverRate":null,"OffLineGrade":null,"AveReconnectNum":null,"AveReconnectTime":null,"OffLineOverRate":null,"AveSpeed":null,"SpeedDescribe_new":null,"SpeedDescribefast_new":null,"SpeedDescribefastopen_new":null,"SpeedDescribefastclose_new":null,"SpeedDescribeslow_new":null,"SpeedDescribeslowopen_new":null,"SpeedDescribeslowclose_new":null,"SlipDescribe_new":null,"SlipDescribemax_new":null,"SlipDescribemax1_new":null,"SlipDescribemax2_new":null,"CostDescribe_new":null,"CostDescribe1_new":null,"CostDescribe2_new":null,"SwapDescribe_new":null,"SwapDescribe1_new":null,"SwapDescribe2_new":null,"OffLineDescribe_new":null,"color":null,"DayTime":null,"TotalTraders":null,"Totalcount":null,"totalbanlance":null,"Sort":null,"SpeedSort":null,"SlipSort":null,"CostSort":null,"SwapSort":null,"OffLineSort":null,"SpeedDescribe":null,"SpeedDescribefast":null,"SpeedDescribefastopen":null,"SpeedDescribefastclose":null,"SpeedDescribeslow":null,"SpeedDescribeslowopen":null,"SpeedDescribeslowclose":null,"SlipDescribe":null,"SlipDescribemax":null,"SlipDescribemax1":null,"SlipDescribemax2":null,"CostDescribe":null,"CostDescribe1":null,"CostDescribe2":null,"SwapDescribe":null,"SwapDescribe1":null,"SwapDescribe2":null,"OffLineDescribe":null,"TotalBrokers":null},"softwareInfo":null,"customerService":{"content":"{brokers 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