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
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-AVUATORE-202608041528
- Generated at
- 5 August 2026 at 00:28
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-avuatoredoziyapan-20240423
1. Review Summary
| Disclosure name | アヴァトレード・ジャパン株式会社 | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 23 April 2024 | 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 | アヴァトレード・ジャパン株式会社 |
|---|
3. Enforcement Record
| Target name in disclosure | アヴァトレード・ジャパン株式会社 |
|---|---|
| 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: 23 April 2024 / Announcement: 12 March 2026 |
| English summary | 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. |
| 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。 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2024/2024/20240514-1.html |
| Source archive | https://kiroku.today/a/f0649e24d9hdju9v |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 08:26 / Evidence checked: 25 April 2026 at 08:26 / Archive captured: 12 July 2026 at 14:52 |
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.
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Preserved evidence by Kiroku
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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.
Evidence pack
- 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": "2026-08-04T15:28:52.075Z"
},
"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.