Japan's Securities and Exchange Surveillance Commission on June 5 published inspection findings recommending the Financial Services Agency and other regulators impose administrative penalties on moomoo Securities Co., a unit of Futu Holdings. The SESC identified shortcomings in NISA sales practices, customer asset transfers, anti‑money‑laundering checks and systems risk management.

2026-06-08

Japan's Securities and Exchange Surveillance Commission on June 5 published inspection findings recommending the Financial Services Agency and other regulators impose administrative penalties on moomoo Securities Co., a unit of Futu Holdings. The SESC identified shortcomings in NISA sales practices, customer asset transfers, anti‑money‑laundering checks and systems risk management.