All Entries in the "Japan Securities and Exchange Surveillance Commission (SESC)" Category
Japan FSA Sanctions BNP Paribas Again
BNP Paribas Japan has been ordered to suspend all business in its Equities & Commodity Derivatives Division from November 2 to November 16. It’s also been ordered to improve its internal audit, inspections and trade approval process. The issue stemmed from a swap transaction back in June 2008 where the FSA found that BNP Paribas [...]
