{"data":[{"id":"44d76aa1-07e3-4bd9-bb64-3888a13c8f12","company_name":"株式会社ユニオン証券アドバイザーズ","company_name_en":null,"corporate_number":null,"authority":"証券取引等監視委員会","law_name":"金融商品取引法","action_type":"勧告","action_date":"2023-05-26","announcement_date":"2026-03-12","violation_summary":"関東財務局長が株式会社ユニオン証券アドバイザーズ（東京都千代田区、法人番号3011201019668、代表取締役　杉山 兼二郎、資本金980万円、常勤役職員及び契約外務員数49名、金融商品仲介業）を検査した結果、下記のとおり、当該金融商品仲介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 Union Securities Advisors Co., Ltd. (Chiyoda-ku, Tokyo, Corporate Number 3011201019668, President Kenjiro Sugiyama, Capital 9.8 million yen, 49 full-time staff and external agents, Financial Instruments Intermediary Business). As a result, issues related to this financial instruments intermediary business were identified. Today, the Securities and Exchange Surveillance Commission advised the Prime Minister and the Commissioner of the Financial Services Agency to take administrative action pursuant to Article 20, Paragraph 1 of the Financial Instruments and Exchange Act.","penalty_amount":null,"is_verified":false,"source_url":"https://www.fsa.go.jp/sesc/news/c_2023/2023/20230526-1.html","url":"https://regbase.jp/enforcement/kinshoho-yunionzheng-quan-adobaizazu-20230526"}],"meta":{"query":"株式会社ユニオン証券アドバイザーズ","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":3,"reset_at":"2026-05-21T21:53:03.024Z"},"daily_rate_limit":{"limit":300,"window_seconds":86400,"remaining":289,"reset_at":"2026-05-22T21:52:03.024Z"}}}