2013 Fiscal Year Final Research Report
The balance of enforcement under the Financial Instruments and Exchange Regulation
| Project/Area Number |
23530116
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| Research Category |
Grant-in-Aid for Scientific Research (C)
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| Allocation Type | Multi-year Fund |
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| Section | 一般 |
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| Research Field |
Civil law
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| Research Institution | Momoyama Gakuin University |
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Principal Investigator |
SEYA YURIKO 桃山学院大学, 法学部, 教授 (00226680)
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| Project Period (FY) |
2011 – 2013
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| Keywords | 金融商品取引規制 / エンフォースメント / 行政規制 / 課徴金制度 |
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| Research Abstract |
This Study has focused on several Enforcements under the Financial Instruments and Exchange Act.
Someone who violates the Financial Instruments and Exchange Act faces government enforcement powers. These include administrative enforcement, civil and criminal enforcement. In Japanese Securities and Exchange Committee(kanshi-iinkai) enforcement actions brought in court alleging violations, the Committee seeks injunctive relief. I discuss some problems about the balance of these enforcements in several papers.
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