Recommendation against アヴァトレード・ジャパン株式会社

アヴァトレード・ジャパン株式会社 (Financial Instruments and Exchange Act)

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionConfirmed entity match23 April 2024

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Action summary

Company: アヴァトレード・ジャパン株式会社Japanese original
Original: アヴァトレード・ジャパン株式会社
Corporate Number: 2010401081157
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: 23 April 2024
Issuing authority: Securities and Exchange Surveillance Commission
証券取引等監視委員会

Violation

Machine-translated summary — verify against original

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

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: 2026-04-24T23:26:56.201+00:00
Evidence checked: 2026-04-24T23:26:56.201+00:00
Archive captured: 2026-04-05T12:30:51.757+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": "アヴァトレード・ジャパン株式会社",
    "corporate_number": "2010401081157",
    "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-avuatoredoziyapan-20240423",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2024/2024/20240514-1.html",
    "archiveUrl": "https://kiroku.today/view/f0649e24d9lqpgsc",
    "archiveCapturedAt": "2026-04-05T12:30:51.757+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": "2026-06-19T08:20:56.677Z"
  },
  "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: アヴァトレード・ジャパン株式会社 Japanese original
Japanese name: アヴァトレード・ジャパン株式会社
Corporate Number: 2010401081157
Registered address: 東京都港区赤坂２丁目１８番１号赤坂ヒルサイドビル４階

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.