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
Current page: Enforcement record
This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.
Source verification
Public-source and preservation status
- Publishing authority
- Securities and Exchange Surveillance Commission
- Official source URL
- Recorded by RegBase
- Entity match
- Not confirmed; shown under the published name
- Kiroku preservation
- Completed archive verified
- Captured: Jul 12, 2026, 02:50 PM JST
“Confirmed” means that RegBase matched this record to the cited public disclosure or entity under the stated checks. It does not verify the truth of the disclosure or guarantee the entity’s current status, creditworthiness, or any legal conclusion.
Open the official source links in the section below to review the original disclosure.
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.
Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive
- 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": "2026-09-21T08:14:29.292Z"
},
"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)Recent records in the same industry
About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.