{"data":[{"id":"8513f0a1-77a8-41b7-a250-c5532ac7aee2","company_name":"キャピタル フィナンシャルアドバイザーズ株式会社","company_name_en":null,"corporate_number":null,"authority":"証券取引等監視委員会","authorities":["証券取引等監視委員会"],"authority_count":1,"action_types":["勧告"],"regional_record_count":1,"source_document_count":1,"law_name":"金融商品取引法","action_type":"勧告","action_date":"2026-05-29","announcement_date":"2026-05-29","violation_summary":"当社の投資勧誘の適切性の確保のための取組みについて実効性ある管理態勢を構築していない結果、CPS社の内部管理責任者を兼務する当社の鮫島寛行代表取締役社長は、当社の投資勧誘の適切性の確保のための取組みについて実効性ある管理態勢を構築していない結果、CPS社の内部管理責任者を兼務する当社の鮫島寛行代表取締役社長は、当社の投資勧誘の適切性の確保のための取組みについて実効性ある管理態勢を構築していない結果、長年にわたり法令違反行為等が繰り返されてきた。","violation_summary_en":"The Financial Services Agency issued a recommendation to Capital Financial Advisors Co., Ltd. on May 29, 2026, for inadequate management systems ensuring the appropriateness of investment solicitation, leading to repeated violations over many years. The company's representative director, Hiroyuki Samejima, also serving as an internal management officer at CPS Corporation, was involved in these issues.","penalty_amount":null,"is_verified":false,"record_verified":false,"entity_match":{"status":"unresolved","confidence":85,"method":"nta_strict_name_nationally_unique","notes":"A current-policy Corporate Number match to a verified company profile is not available."},"human_review_status":"unreviewed","source_url":"https://www.fsa.go.jp/sesc/news/c_2026/2026/20260529-2.html","url":"https://regbase.jp/enforcement/kinshoho-kiyapitaruhuinansiyaruadobaizazu-20260529"}],"meta":{"query":"キャピタル フィナンシャルアドバイザーズ株式会社","corporate_number":null,"law":null,"authority":null,"action_type":null,"count":1,"api_docs":"https://regbase.jp/api-docs","openapi_schema":"https://regbase.jp/api/openapi.json","llms":"https://regbase.jp/llms.txt","usage_note":"Use RegBase for targeted public-source screening of Japanese companies and enforcement records. Absence of returned records is not a clearance, legal opinion, sanctions result, or credit decision.","rate_limit":{"limit":10,"window_seconds":60,"remaining":5,"reset_at":"2026-09-14T18:09:45.219Z"},"daily_rate_limit":{"limit":300,"window_seconds":86400,"remaining":276,"reset_at":"2026-09-15T18:08:45.219Z"}}}