Dec 8, 2015

Deutsche Bank Japan brokerage penalized

Deutsche Bank AG’s Japanese brokerage unit faces regulatory penalties after the nation’s securities watchdog found that its employees improperly shared information about a company’s earnings with clients. The Securities and Exchange Surveillance Commission recommended that the Financial Services Agency take administrative action against Deutsche ...

Oct 4, 2013

SESC advises FSA to punish Abraham Bank

The Securities and Exchange Surveillance Commission has recommended the Financial Services Agency issue administrative punishment to Abraham Private Bank Ltd. for unlicensed sales of investment products. Given Thursday’s recommendation, the FSA will consider punishing the Tokyo-based investment advisory firm, which offers a private pension ...