Recommendation against 株式会社バディキャピタル

株式会社バディキャピタル (Financial Instruments and Exchange Act)

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionConfirmed entity match17 April 2026

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Action summary

Company: 株式会社バディキャピタルJapanese original
Original: 株式会社バディキャピタル
Corporate Number: 6011001137238
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: 17 April 2026
Issuing authority: Securities and Exchange Surveillance Commission
証券取引等監視委員会

Violation

Machine-translated summary — verify against original

The company did not have officers or employees with the necessary knowledge and experience to execute investment advisory services, and the necessary organizational structure was not established. Individuals who are not officers or employees held control equal to or greater than that of the representative director, were deeply involved in establishing and operating the sales offices, and influenced management. There were violations including recommending cryptocurrencies and supporting transactions by sales staff, inadequate risk explanations, neglect of legal violations, and obstruction of inspections.

Show original Japanese text

当社は、投資助言業務の執行に必要な知識・経験を有する役員や使用人を確保しておらず、必要な体制が整備されていない状況であった。役職員ではない者が代表取締役と同等以上の支配力を持ち、営業所の設置・運営に深く関与し、経営管理に影響を与えている。営業員による暗号資産の推奨や取引サポート、リスク説明の不備、法令違反行為の放置、検査妨害行為などが認められた。

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: 2026-04-25T00:27:19.253+00:00
Evidence checked: 2026-04-25T00:27:19.253+00:00
Archive captured: 2026-06-14T06:30:27.701+00:00

Show audit JSON

{
  "record": {
    "id": "ddc28768-727b-4825-bcde-9b6f12f57622",
    "url": "https://regbase.jp/en/enforcement/kinshoho-badeikiyapitaru-20260417",
    "company_name_original": "株式会社バディキャピタル",
    "company_name_registry": "株式会社バディキャピタル",
    "corporate_number": "6011001137238",
    "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-badeikiyapitaru-20260417",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260417-2.html",
    "archiveUrl": "https://kiroku.today/view/985504a6a9denlq0",
    "archiveCapturedAt": "2026-06-14T06:30:27.701+00:00",
    "extractedAt": "2026-04-25T00:27:19.253+00:00",
    "translatedAt": "2026-05-01T07:14:59.482+00:00",
    "evidenceCheckedAt": "2026-04-25T00:27:19.253+00:00",
    "generatedAt": "2026-06-17T16:16:50.216Z"
  },
  "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: 株式会社バディキャピタル Japanese original
Japanese name: 株式会社バディキャピタル
Corporate Number: 6011001137238
Registered address: 東京都渋谷区道玄坂２丁目２６番１５号ＳＨＩＢＵＹＡＤ－ＳＥＣＯＮＤ９Ｆ

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.