On the 10th, the Securities and Exchange Surveillance Commission filed a petition with the Tokyo District Court to prohibit and halt violations of the Financial Instruments and Exchange Act by 4CAPITAL MANAGEMENT LLC, Shibata Research Institute, and Ando Research Institute, along with their representatives. These entities were soliciting overseas investment products without being registered as financial instruments business operators. On the same day, the Financial Services Agency also listed these three companies and their representatives on the unregistered operators list.
The Commission...