Recommendation against あい証券株式会社

あい証券株式会社 (Financial Instruments and Exchange Act)

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionConfirmed entity match17 June 2022

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Action summary

Company: あい証券株式会社Japanese original
Original: あい証券株式会社
Corporate Number: 9010401057968
Entity match: Confirmed entity match95/100Machine extracted
Normalized Japanese name matched to a company profile with Corporate Number
Matched by normalized Japanese company name to an enriched company profile with a Corporate Number.
Governing law: Financial Instruments and Exchange Act
金融商品取引法
Action type: Recommendation
勧告
Action date: 17 June 2022
Issuing authority: Securities and Exchange Surveillance Commission
証券取引等監視委員会

Violation

Machine-translated summary — verify against original

Aisecurities Co., Ltd. invested as the sole qualified institutional investor in the anonymous partnership 'Arbitrage System Fund' operated by ARBITRAGE SYSTEM FUND COMPANY LIMITED, a corporation registered in the Cayman Islands. On October 31, 2011, Aisecurities entered into a sales委託 contract and a memorandum regarding administrative management (hereinafter referred to as 'this memorandum') with ARBITRAGE SYSTEM FUND COMPANY LIMITED. As of the inspection standard date (August 24, 2020), Aisecurities was handling private placement of investment interests related to Arbitrage Fund I and managing investment funds. Furthermore, Aisecurities was found to have engaged in investment management activities without registration and to have conducted business operations problematic for investor protection.

Show original Japanese text

あい証券株式会社は、ARBITRAGE SYSTEM FUND COMPANY LIMITED（英国領ケイマン諸島籍の法人、以下「AS社」という。）を営業者とする匿名組合「裁定システムファンド（Arbitrage System Fund）」に対し、唯一の適格機関投資家として出資するとともに、平成23年10月31日付で、AS社と販売委託契約及び事務管理に係る覚書（以下「本件覚書」という。）を締結し、検査基準日（令和2年8月24日）現在、裁定ファンドⅠに係る出資持分の私募の取扱いや出資金の管理等を行っているとしている。さらに、あい証券株式会社は、無登録で投資運用業を行っていた状況や、投資者保護上問題のある業務運営を行っていたことが認められる。

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: 2026-04-24T23:25:51.801+00:00
Evidence checked: 2026-04-24T23:25:51.801+00:00
Archive captured: 2026-04-05T12:31:04.26+00:00

Show audit JSON

{
  "record": {
    "id": "06d74066-77c1-4e1d-af90-830291234981",
    "url": "https://regbase.jp/en/enforcement/kinshoho-aizheng-quan-20220617",
    "company_name_original": "あい証券株式会社",
    "company_name_registry": "あい証券株式会社",
    "corporate_number": "9010401057968",
    "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": "confirmed",
    "confidence": 95,
    "method": "normalized_name_with_corporate_number",
    "method_label": "Normalized Japanese name matched to a company profile with Corporate Number",
    "notes": "Matched by normalized Japanese company name to an enriched company profile with a Corporate Number."
  },
  "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-aizheng-quan-20220617",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2022/2022/20220617-2.html",
    "archiveUrl": "https://kiroku.today/view/15bfd14a4flqpqfd",
    "archiveCapturedAt": "2026-04-05T12:31:04.26+00:00",
    "extractedAt": "2026-04-24T23:25:51.801+00:00",
    "translatedAt": "2026-05-01T06:43:23.841+00:00",
    "evidenceCheckedAt": "2026-04-24T23:25:51.801+00:00",
    "generatedAt": "2026-05-21T01:23:12.596Z"
  },
  "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: あい証券株式会社 Japanese original
Japanese name: あい証券株式会社
Corporate Number: 9010401057968
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.