{"data":[{"id":"0601e0dd-ed30-4a04-a7d7-79ebf7036d19","company_name":"マーチャントブレインズ投資顧問株式会社","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":"2022-09-30","announcement_date":"2026-03-12","violation_summary":"関東財務局長がマーチャントブレインズ投資顧問株式会社（東京都港区、法人番号9010001175146、代表取締役 加藤 雄太郎、資本金800万円、常勤役職員５名、投資助言・代理業）を検査した結果、下記のとおり、当該金融商品取引業者に係る問題が認められたので、本日、証券取引等監視委員会は、内閣総理大臣及び金融庁長官に対して、金融庁設置法第20条第１項の規定に基づき、行政処分を行うよう勧告した。","violation_summary_en":"The Kanto Financial Bureau conducted an inspection of Merchant Brains Investment Advisory Co., Ltd. (Minato-ku, Tokyo; Corporate Number 9010001175146; CEO Yutaro Kato; Capital 8 million yen; five full-time employees; Investment Advisory and Agency Business). As a result, issues related to this financial instruments business operator were identified. On this day, the Securities and Exchange Surveillance Commission advised the Prime Minister and the Financial Services Agency Commissioner to take administrative action pursuant to Article 20, Paragraph 1 of the Financial Instruments and Exchange Act.","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_2022/2022/20220930-1.html","url":"https://regbase.jp/enforcement/kinshoho-matiyantobureinzutou-zi-gu-wen-20220930"}],"meta":{"query":"マーチャントブレインズ投資顧問株式会社","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":6,"reset_at":"2026-08-18T23:46:55.314Z"},"daily_rate_limit":{"limit":300,"window_seconds":86400,"remaining":227,"reset_at":"2026-08-19T23:45:55.314Z"}}}