What public compliance information is shown for 匠投資顧問株式会社?

RegBase shows public Japanese enforcement records, Corporate Number and registry context where available, original source links, entity-match signals, and related company signals derived from public records.

Does no listed enforcement record mean 匠投資顧問株式会社 is risk-free?

No. It only means RegBase has not currently listed a matching public enforcement record from its monitored sources. It is not a credit opinion, sanctions result, legal conclusion, or full background check.

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匠投資顧問株式会社

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Public Record Summary

Actions in last 3 years: 1records
Actions in last year: 1records
Latest action: Today
Total penalties: -

Enforcement and administrative action history

Financial Instruments and Exchange ActRecommendation

Possible entity match

投資一任契約を締結した顧客のため忠実に投資運用業を行っていない状況等、投資先医療法人から資金が流出している状況で投資一任契約に基づく投資を継続していた状況、顧客の投資資金の運用が行われていない状況、事実と異なる内容の運用報告を行っていた状況、投資一任業に関して顧客から金銭の預託を受けていた状況、運用報告書の未交付、役職員の法令違反行為の未届出、投資助言業務に係る善管注意義務違反等が認められる。

15 May 2026Securities and Exchange Surveillance Commission

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Language

日本語版を見る (Japanese)

Registry data

English name: 匠投資顧問株式会社
Japanese name: 匠投資顧問株式会社
Status: Active

Note: This company may not have detailed gBizINFO data, or RegBase has not completed enrichment yet. The public sources below may contain supplemental registry information.

Search "匠投資顧問株式会社" on gBizINFO ↗

Data sources

Breakdown by law

Financial Instruments and Exchange Act
1

Breakdown by action type

Recommendation
1

About this English name

No English name available. Original Japanese name is shown.

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