Former Nomura Holdings Inc CEO Kenichi Watanabe

Former Nomura Holdings Inc CEO Kenichi Watanabe

Kiyoshi Ota/Bloomberg

The fine follows an Aug. 3 order by Japanese regulators that Nomura improve compliance after employees tipped off traders ahead of three equity sales by clients in 2010, Chief Executive Officer Kenichi Watanabe and Chief Operating Officer Takumi Shibata resigned in the wake of the scandal.