株式会社Ｇ＆Ｄアドヴァイザーズ

1. Situations where faithful investment advisory services are not being provided to clients: a. Buying securities before providing investment advice on specific stocks and selling them after advice, using securities accounts in third-party names, resulting in approximately 2.28 million yen in sale profit. b. Overlooking conflicts of interest transactions and lacking a system to prevent them: The company had insufficient regulations and management systems to prevent conflicts of interest transactions, and the representative director and compliance officer did not manage them, leading to overlooked inappropriate transactions by Director Ko. 2. Acts of providing false information to clients regarding the solicitation of conclusion of financial instruments transactions: a. Providing false information, including fabricated achievements of fictitious information providers, false forecasts of stock price increases, false records of past achievements, and false records of acquisitions in email magazines. b. Using statements in email magazines that mislead clients into believing they obtained highly reliable information. These acts violate laws and regulations and involve false or misleading representations. 3. Acts of providing special benefits to clients regarding financial instruments transactions: Extending investment advisory contracts and continuing advice free of charge, providing a total of 8.88 million yen in special benefits. This was due to inadequate management of investment advisory contracts and resulted in improper benefit provision to clients.