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Violation Tracker Individual Record

Company: Mizuho Capital Markets LLC
Current Parent CompanyMizuho Financial
Parent at the Time of the Penalty Announcement subscribe to see this data field
Penalty: $1,500,000
Year: 2021
Date: September 27, 2021
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: The Commodity Futures Trading Commission filed and settled charges against Mizuho Capital Markets LLC, a provisionally registered swap dealer, for failing to comply with certain swap dealer requirements concerning reconciling swap portfolios with its counterparties; providing disclosures to counterparties concerning the daily mid-market mark of swaps; and reporting swap transactions to a swap data repository (SDR); and related supervision failures.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: Japan
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking
Source of Data(click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.