Enforcement record
Recommendation disclosure naming あい証券株式会社
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
17 June 2022
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-AIZHENG--202608182253
- Generated at
- 19 August 2026 at 07:53
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-aizheng-quan-20220617
1. Review Summary
| Disclosure name | あい証券株式会社 | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 17 June 2022 | 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 | あい証券株式会社 |
|---|
3. Enforcement Record
| Target name in disclosure | あい証券株式会社 |
|---|---|
| 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: 17 June 2022 / Announcement: 12 March 2026 |
| English summary | 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. |
| 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。 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2022/2022/20220617-2.html |
| Source archive | https://kiroku.today/a/15bfd14a4fhdjtky |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 08:25 / Evidence checked: 25 April 2026 at 08:25 / Archive captured: 12 July 2026 at 14:51 |
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 あい証券株式会社
Includes the published name, regulator, governing law, source links, archive status, and reviewer note fields for internal due-diligence files.
Preserved evidence by Kiroku
Review the preserved source for あい証券株式会社
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For developers: JSON integration details
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Action summary
- Company
- あい証券株式会社Japanese onlyOriginal: あい証券株式会社
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- 17 June 2022
- 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
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
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
- 2026-04-24T23:25:51.801+00:00
- Evidence checked
- 2026-04-24T23:25:51.801+00:00
- Archive captured
- 2026-07-12T05:51:32.851514+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": 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 (あい証券株式会社). 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-aizheng-quan-20220617",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2022/2022/20220617-2.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/15bfd14a4fhdjtky",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2022/2022/20220617-2.html",
"archiveCapturedAt": "2026-07-12T05:51:32.851514+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": "2026-08-18T22:53:24.503Z"
},
"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.