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Statement on Administrative Action by Japan's Financial Services Agency
October 31, 2024
Nomura Holdings, Inc.
Nomura Securities Co., Ltd.
Tokyo, October 31, 2024—Following a recommendation* issued on September 25, 2024, by Japan's Securities and Exchange Surveillance Commission, yesterday Japan's Financial Services Agency issued an administrative monetary penalty payment order of 21.76 million yen against Nomura Securities Co., Ltd. for Japanese government bond futures transactions conducted in March 2021. Nomura Securities paid the monetary penalty today.
We apologize to our clients and all other concerned parties for the trouble this has caused.
We take this matter very seriously. We will continue to further enhance our compliance framework and internal controls to prevent similar incidents occurring in the future and to regain trust.
* See news release titled "Statement on Recommendation Issued by Japan's Securities and Exchange Surveillance Commission" issued on September 25, 2024.
Nomura
Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com.