The following is a list of major enforcement actions that have been taken against financial firms. Please note that it does not include enforcement actions that are being taken. Enforcement actions are demands imposed on financial firms to take a corrective action.
Please note that the actual actions taken by financial firms may be different from what is disclosed on the list below.
Information on enforcement actions in the “caution” and “matters requiring voluntary corrective action” (formerly, request for action) categories are available from January 2012. Enforcement actions in the non-disciplinary category, which are “management caution” and “demand for improvement” (available from July 2014), are disclosed on the Enforcement Action based on Examination Findings list for data before June 2016 and on the Disclosure of Management Caution, etc. list for data starting from June 2016.