{"data":[{"id":"50404e37-4201-4312-b2d7-f5a5a7fe17a7","company_name":"ドゥラックアセットマネジメント株式会社","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":"2026-06-02","announcement_date":"2026-06-02","violation_summary":"当社では、経営管理態勢及び内部管理態勢が機能しておらず、髙橋代表を含めた管理役職員が、金商法等に基づく検証や確認を怠っていたことに起因して、例えば、顧客との契約締結時に提供すべき情報として、営業所の情報を提供していないなど、多数の法令等違反行為が看過されている状況も認められた。","violation_summary_en":"The company, Durlac Asset Management Co., Ltd., was advised by the Securities and Exchange Surveillance Commission on June 2, 2026, for significant deficiencies in its management and internal control systems, leading to violations of the Financial Instruments and Exchange Act, including failure to verify and confirm compliance and providing incomplete information to clients.","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_2026/2026/20260602-1.html","url":"https://regbase.jp/enforcement/kinshoho-douratukuasetutomanezimento-20260602"},{"id":"d5ad09bc-72bb-4dd5-ad16-01cd35b6ae45","company_name":"新生インベストメント・マネジメント株式会社","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":"2024-01-21","announcement_date":"2026-03-12","violation_summary":"証券取引等監視委員会が新生インベストメント・マネジメント株式会社（東京都中央区、法人番号1010001076871、代表取締役社長　平井　治子、資本金4.95億円、常勤役職員27名、投資運用業、投資助言・代理業、第二種金融商品取引業）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 Securities and Exchange Surveillance Commission inspected Shinsei Investment Management Co., Ltd. (Chuo-ku, Tokyo; Corporate Number 1010001076871; President and CEO Harai Haruko; Capital 495 million yen; 27 full-time employees; engaged in investment management, investment advisory and agency services, and second-class financial instruments business). As a result, issues related to this financial instruments business operator 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,"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_2022/2022/20220121-3.html","url":"https://regbase.jp/enforcement/kinshoho-xin-sheng-inbesutomentomanezimento-20240121"},{"id":"021fd2d3-caf0-4ebd-9b64-10bd4254bb78","company_name":"株式会社エスコンアセットマネジメント","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":"2022-06-17","announcement_date":"2026-03-12","violation_summary":"当社の親会社である株式会社日本エスコンからの取得となる不動産の鑑定評価を依頼するに際し、適切な利益相反管理の観点から問題となる、不動産鑑定業者の独立性を損なう不適切な働きかけを行い、また、不適切な不動産鑑定業者選定プロセスをとっていた。","violation_summary_en":"When requesting real estate appraisal evaluations from a real estate appraisal company obtained through the company's parent company, Nippon Escon Co., Ltd., the company engaged in inappropriate efforts that compromised the independence of the appraisal company from the perspective of proper conflict of interest management. Additionally, the company employed an inappropriate process for selecting the real estate appraisal company.","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_2022/2022/20220617-4.html","url":"https://regbase.jp/enforcement/kinshoho-esukonasetutomanezimento-20220617"},{"id":"fb2155e6-f57c-4d40-827c-f881876922be","company_name":"TOMAN株式会社","company_name_en":null,"corporate_number":null,"authority":"東京都","authorities":["東京都"],"authority_count":1,"action_types":["指示"],"regional_record_count":1,"source_document_count":1,"law_name":"宅地建物取引業法","action_type":"指示","action_date":"2021-07-28","announcement_date":"2026-04-25","violation_summary":"専任の宅地建物取引士が平成31年4月3日から不足したにもかかわらず、宅地建物取引業法第31条の3第3項に定める期間内に必要な措置を講じないまま、令和2年6月17日に至るまで約1年2か月間経過した。","violation_summary_en":"The Tokyo Metropolitan Government issued an instruction to TOMAN Corporation on July 28, 2021, due to a failure to appoint a dedicated real estate transaction specialist for approximately 1 year and 2 months from April 3, 2019, despite the legal requirement to do so within the specified period under the Real Estate Business Act.","penalty_amount":null,"is_verified":true,"record_verified":true,"entity_match":{"status":"unresolved","confidence":92,"method":"nta_strict_name_municipality_supported","notes":"A current-policy Corporate Number match to a verified company profile is not available."},"human_review_status":"needs_review","source_url":"https://www.mlit.go.jp/nega-inf/cgi-bin/search.cgi?jigyoubunya=takuti&EID=search&no=3","url":"https://regbase.jp/enforcement/takken-gyoho-toman-20210728"},{"id":"ac8b75f3-e3bd-4a46-8ec2-c1dc77f2f230","company_name":"あいグローバル・アセット・マネジメント株式会社","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":"2021-01-29","announcement_date":"2026-03-11","violation_summary":"証券取引等監視委員会があいグローバル・アセット・マネジメント株式会社に対して、投資運用業務において善良な管理者の注意をもって投資運用業を行っていない状況が認められたため、内閣総理大臣及び金融庁長官に対して行政処分を行うよう勧告した。","violation_summary_en":"The Securities and Exchange Surveillance Commission recommended administrative sanctions against A Global Asset Management Co., Ltd. for not conducting investment management activities with the care of a good manager in their investment operations.","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_2021/2021/20210129-1.html","url":"https://regbase.jp/enforcement/kinshoho-aigurobaruasetutomanezimento-20210129"}],"meta":{"query":"TOMAN株式会社","corporate_number":null,"law":null,"authority":null,"action_type":null,"count":5,"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":"2026-08-04T17:35:13.592Z"},"daily_rate_limit":{"limit":300,"window_seconds":86400,"remaining":121,"reset_at":"2026-08-05T17:34:13.592Z"}}}