Nomura Group: Trading with Privileged Information

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CASE STUDY. In late March 2012, the Securities Exchange and Surveillance Commission (SESC), the investigative unit of the Japanese Financial Services Authority (FSA), confirmed that Nomura Securities Co., Ltd (NSC) – a subsidiary of Nomura Holdings, Inc. – had been involved in insider trading.

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Nomura Group: Trading with Privileged Information: Abstract

Nomura Group: Trading with Privileged Information is a case study by Chijioke Oji and Viola Makin.

In late March 2012, the Securities Exchange and Surveillance Commission (SESC), the investigative unit of the Japanese Financial Services Authority (FSA), confirmed that Nomura Securities Co., Ltd (NSC) – a subsidiary of Nomura Holdings, Inc. – had been involved in insider trading. On at least three occasions, before official announcements for share issues were made, employees at NSC leaked confidential information on securities offerings that the firm underwrote, with the aim of stimulating market demand for the shares. While trying to repair its tarnished reputation, the company faced hefty fines from the Japanese financial regulators.

Teaching objectives

The purpose of this case is to generate discussion and learning on ethics and corporate governance.

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