{"data":[{"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":"1010001076871","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":"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,"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"}],"meta":{"query":null,"corporate_number":"1010001076871","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":8,"reset_at":"2026-05-21T00:00:54.721Z"},"daily_rate_limit":{"limit":300,"window_seconds":86400,"remaining":35,"reset_at":"2026-05-21T23:59:54.721Z"}}}