{"data":[{"id":"8e1539a2-8d2d-45ba-bb30-fae6c0e858fb","company_name":"三木証券株式会社","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":"2023-09-15","announcement_date":"2026-03-12","violation_summary":"関東財務局長が三木証券株式会社（東京都中央区、法人番号6010001058023、代表取締役社長　鈴木 崇、資本金５億円、常勤役職員164名、第一種金融商品取引業）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 Miki Securities Co., Ltd. (Chuo-ku, Tokyo, Corporate Number 6010001058023, President and CEO Takashi Suzuki, Capital 500 million yen, 164 full-time employees, Type 1 Financial Instruments 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_2023/2023/20230915-1.html","url":"https://regbase.jp/enforcement/kinshoho-san-mu-zheng-quan-20230915"}],"meta":{"query":"三木証券株式会社","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":9,"reset_at":"2026-08-18T23:46:01.172Z"},"daily_rate_limit":{"limit":300,"window_seconds":86400,"remaining":230,"reset_at":"2026-08-19T23:45:01.172Z"}}}