Possible Recommendation against あいグローバル・アセット・マネジメント株式会社

あいグローバル・アセット・マネジメント株式会社 (Financial Instruments and Exchange Act)

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionPossible entity match29 January 2021

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/api/v1/enforcements?company=%E3%81%82%E3%81%84%E3%82%B0%E3%83%AD%E3%83%BC%E3%83%90%E3%83%AB%E3%83%BB%E3%82%A2%E3%82%BB%E3%83%83%E3%83%88%E3%83%BB%E3%83%9E%E3%83%8D%E3%82%B8%E3%83%A1%E3%83%B3%E3%83%88%E6%A0%AA%E5%BC%8F%E4%BC%9A%E7%A4%BE&limit=10

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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 original
Original: あいグローバル・アセット・マネジメント株式会社
Entity match: Possible entity match60/100Machine extracted
Company name extracted from the Japanese public disclosure
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

Violation

Machine-translated summary — verify against original

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

Medium

A 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

Original Securities and Exchange Surveillance Commission announcement (Japanese)Archived source snapshot

Extracted at: 2026-04-24T23:24:54.215+00:00
Evidence checked: 2026-04-24T23:24:54.215+00:00
Archive captured: 2026-04-05T18:30:51.674+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": "あいグローバル・アセット・マネジメント株式会社",
    "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": "possible",
    "confidence": 60,
    "method": "extracted_japanese_name",
    "method_label": "Company name extracted from the Japanese public disclosure",
    "notes": null
  },
  "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",
    "archiveUrl": "https://kiroku.today/view/e40c3b507em3kfdx",
    "archiveCapturedAt": "2026-04-05T18:30:51.674+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": "2026-05-21T01:23:54.190Z"
  },
  "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)

Company info

English name: あいグローバル・アセット・マネジメント株式会社 Japanese original
Japanese name: あいグローバル・アセット・マネジメント株式会社
Registered address: 東京都港区六本木１丁目６番１号

See company profile →

About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.