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
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, 02:51 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.
Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive
- 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": "2026-10-03T06:48:46.346Z"
},
"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.