Enforcement record
Recommendation disclosure naming アヴァトレード・ジャパン株式会社
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
23 April 2024
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, 02:52 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
- アヴァトレード・ジャパン株式会社Japanese onlyOriginal: アヴァトレード・ジャパン株式会社
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- 23 April 2024
- 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
Around May 2021, due to worsening stress test results, the company requested the parent company's compliance department head to falsify customer data. From the end of May 2021 to the end of March 2023, on at least 13 days each month, the company conducted stress tests after deleting data of some large transaction customers from customer data. Furthermore, from May 2023 to the end of August 2023, on at least 24 days, the company conducted stress tests after deleting some customer data. These actions involved performing stress tests with tampered data that should have been conducted correctly, and the company did not report these to the association.
Show original Japanese text
令和３年５月頃、ストレステストの結果が悪化しつつあったため、親会社のコンプライアンス部門の最高責任者に対し、顧客データの改ざんを依頼し、令和３年５月末から令和５年３月末の各月末のうち少なくとも13日、顧客データから大口取引顧客の上位数名のデータを削除したうえでストレステストを実施した。さらに、令和５年５月から８月末までの少なくとも24日、顧客データの一部を削除したうえでストレステストを実施した。これらの行為は、正しく実施すべきストレステストを改ざんしたデータで行い、協会への報告も行っていなかった。
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
- 2026-04-24T23:26:56.201+00:00
- Evidence checked
- 2026-04-24T23:26:56.201+00:00
- Archive captured
- 2026-07-12T05:52:04.765827+00:00
Show audit JSON
{
"record": {
"id": "adde037e-38ca-4261-9393-4c37c32cf146",
"url": "https://regbase.jp/en/enforcement/kinshoho-avuatoredoziyapan-20240423",
"company_name_original": "アヴァトレード・ジャパン株式会社",
"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 (アヴァトレード・ジャパン株式会社). 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-avuatoredoziyapan-20240423",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2024/2024/20240514-1.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/f0649e24d9hdju9v",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2024/2024/20240514-1.html",
"archiveCapturedAt": "2026-07-12T05:52:04.765827+00:00",
"extractedAt": "2026-04-24T23:26:56.201+00:00",
"translatedAt": "2026-05-01T06:44:15.338+00:00",
"evidenceCheckedAt": "2026-04-24T23:26:56.201+00:00",
"generatedAt": "2026-09-28T05:19:59.981Z"
},
"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.