Enforcement record
Recommendation disclosure naming あいグローバル・アセット・マネジメント株式会社
This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.
Action type
Recommendation
Law
Financial Instruments and Exchange Act
Authority
Securities and Exchange Surveillance Commission
Action date
29 January 2021
RegBase evidence report
Japanese public-record enforcement check
Saveable record of the published action, regulator source, source status, and review notes for internal compliance files.
- Report ID
- RB-EN-ENFORCEMENT-KINSHOHO-AIGUROBA-202607270551
- Generated at
- 27 July 2026 at 14:51
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-aigurobaruasetutomanezimento-20210129
1. Review Summary
| Disclosure name | あいグローバル・アセット・マネジメント株式会社 | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 29 January 2021 | Authority | Securities and Exchange Surveillance Commission |
| Law | Financial Instruments and Exchange Act | Action type | Recommendation |
| Source status | Preserved public-source archive recorded | ||
This report summarizes public Japanese government disclosure data held by RegBase. It is not a credit score, sanctions conclusion, legal opinion, or adverse-media determination. Confirm important decisions against the linked official Japanese source.
2. Published Information
| Published name | あいグローバル・アセット・マネジメント株式会社 |
|---|
3. Enforcement Record
| Target name in disclosure | あいグローバル・アセット・マネジメント株式会社 |
|---|---|
| Authority | Securities and Exchange Surveillance Commission (証券取引等監視委員会) |
| Law / action type | Financial Instruments and Exchange Act / Recommendation |
| Action / announcement date | Action: 29 January 2021 / Announcement: 11 March 2026 |
| English summary | Before establishing the public offering investment trust, the company did not understand the operational structure, methods, or management of the investment target's operators, nor did they investigate whether arbitrage trading was actually being conducted, nor did they conduct an actual survey at the prime broker. After establishment, they continued to neglect thorough investigation and failed to understand the existence of arbitrage trading or the operational status, leaving issues unaddressed. Furthermore, they failed to investigate or examine the assets under management of the investment target and provided explanations that could mislead investors. |
| Original Japanese text | 本件公募投信の設定前において、投資対象先の運用者の運用体制、運用方法の実在性、管理方法などについて何ら把握していない、また、実際に裁定取引が行われているかどうかについても調査しておらず、プライム・ブローカーにおける実態調査も行っていない。設定後も調査を十分に行わず、裁定取引の実在性や運用状況について把握していないまま放置していた。さらに、投資対象の運用財産に関する調査・検討を怠り、投資者に対して誤解を招く説明を行った。 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2021/2021/20210129-1.html |
| Source archive | https://kiroku.today/a/e40c3b507ehdjsw1 |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 08:24 / Evidence checked: 25 April 2026 at 08:24 / Archive captured: 12 July 2026 at 14:50 |
4. Business Location and Permit Details
No additional structured business-location or permit fields are recorded for this disclosure.
5. Other Confirmed Records for This Company
This report covers the single government disclosure shown on this page.
Reviewer Notes
| Reviewer | Team / company | ||
|---|---|---|---|
| Review purpose | |||
| Additional notes | |||
- □ Official source URL or archived source was checked.
- □ Corporate Number, address, or other identifiers were reviewed to avoid confusing similarly named entities.
- □ This document is understood as a public-record evidence file, not a credit decision or legal opinion.
Current page: Enforcement record
This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.
Free report
Save the disclosure record naming あいグローバル・アセット・マネジメント株式会社
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Preserved evidence by Kiroku
Review the preserved source for あいグローバル・アセット・マネジメント株式会社
Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.
For developers: JSON integration details
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Action summary
- Company
- あいグローバル・アセット・マネジメント株式会社Japanese onlyOriginal: あいグローバル・アセット・マネジメント株式会社
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- 29 January 2021
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
- Industry context
- 金融商品取引業
Violation
Before establishing the public offering investment trust, the company did not understand the operational structure, methods, or management of the investment target's operators, nor did they investigate whether arbitrage trading was actually being conducted, nor did they conduct an actual survey at the prime broker. After establishment, they continued to neglect thorough investigation and failed to understand the existence of arbitrage trading or the operational status, leaving issues unaddressed. Furthermore, they failed to investigate or examine the assets under management of the investment target and provided explanations that could mislead investors.
Show original Japanese text
本件公募投信の設定前において、投資対象先の運用者の運用体制、運用方法の実在性、管理方法などについて何ら把握していない、また、実際に裁定取引が行われているかどうかについても調査しておらず、プライム・ブローカーにおける実態調査も行っていない。設定後も調査を十分に行わず、裁定取引の実在性や運用状況について把握していないまま放置していた。さらに、投資対象の運用財産に関する調査・検討を怠り、投資者に対して誤解を招く説明を行った。
Compliance context
MediumA regulator issued a recommendation or formal request for corrective action.
Financial markets law covering securities, investment services, disclosure, and market conduct.
Review the facts and follow-up status. This is usually less severe than a suspension or revocation, but still a public enforcement signal.
This context is an operational aid for review workflows, not a credit opinion or legal conclusion.
Evidence pack
- Extracted at
- 2026-04-24T23:24:54.215+00:00
- Evidence checked
- 2026-04-24T23:24:54.215+00:00
- Archive captured
- 2026-07-12T05:50:47.082125+00:00
Show audit JSON
{
"record": {
"id": "ac8b75f3-e3bd-4a46-8ec2-c1dc77f2f230",
"url": "https://regbase.jp/en/enforcement/kinshoho-aigurobaruasetutomanezimento-20210129",
"company_name_original": "あいグローバル・アセット・マネジメント株式会社",
"company_name_registry": null,
"corporate_number": null,
"law": {
"ja": "金融商品取引法",
"en": "Financial Instruments and Exchange Act"
},
"action_type": {
"ja": "勧告",
"en": "Recommendation"
},
"authority": {
"ja": "証券取引等監視委員会",
"en": "Securities and Exchange Surveillance Commission"
}
},
"entity_match": {
"status": "unresolved",
"confidence": 85,
"method": "nta_strict_name_nationally_unique",
"method_label": "nta_strict_name_nationally_unique",
"notes": "NTA full-download lookup found a nationally unique exact registered-name candidate (あいグローバル・アセット・マネジメント株式会社). No Corporate Number was present in the disclosure, so this remains a likely match."
},
"review": {
"status": "unreviewed",
"label": "Machine extracted"
},
"compliance_context": {
"severity": "Medium",
"actionMeaning": "A regulator issued a recommendation or formal request for corrective action.",
"practicalNote": "Review the facts and follow-up status. This is usually less severe than a suspension or revocation, but still a public enforcement signal.",
"lawContext": "Financial markets law covering securities, investment services, disclosure, and market conduct."
},
"evidence": {
"recordUrl": "https://regbase.jp/en/enforcement/kinshoho-aigurobaruasetutomanezimento-20210129",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2021/2021/20210129-1.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/e40c3b507ehdjsw1",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2021/2021/20210129-1.html",
"archiveCapturedAt": "2026-07-12T05:50:47.082125+00:00",
"extractedAt": "2026-04-24T23:24:54.215+00:00",
"translatedAt": "2026-05-01T06:42:48.865+00:00",
"evidenceCheckedAt": "2026-04-24T23:24:54.215+00:00",
"generatedAt": "2026-07-27T05:51:20.226Z"
},
"limitations": [
"RegBase aggregates public Japanese government disclosures and does not provide a credit opinion.",
"English summaries are provided for reference. The original Japanese source is authoritative.",
"Possible or unresolved entity matches should be manually verified before use in a decision."
]
}The original Japanese disclosure is the authoritative record. Use possible or unresolved matches only as leads for manual review.
Language
日本語版を見る (Japanese)About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.