{"data":[{"id":"ad362c33-aad1-480c-a2b6-e67d4d45e3f3","company_name":"株式会社IGMフィナンシャルグループ","company_name_en":null,"corporate_number":"7011101043839","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":"2020-04-14","announcement_date":"2026-03-12","violation_summary":"関東財務局長が株式会社IGMフィナンシャルグループ（東京都渋谷区、法人番号7011101043839、代表取締役A、資本金2000万円、常勤役職員３名、投資助言・代理業）を検査した結果、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 IGM Financial Group Inc. (Shibuya-ku, Tokyo, Corporate Number 7011101043839, CEO A, Capital 20 million yen, three full-time officers, engaged in investment advisory and agency services). 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,"source_url":"https://www.fsa.go.jp/sesc/news/c_2020/2020/20200414-1.html","url":"https://regbase.jp/enforcement/kinshoho-igmhuinansiyarugurupu-20200414"}],"meta":{"query":null,"corporate_number":"7011101043839","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":"2026-05-22T08:26:42.440Z"},"daily_rate_limit":{"limit":300,"window_seconds":86400,"remaining":292,"reset_at":"2026-05-23T08:25:42.440Z"}}}