Enforcement record
Recommendation disclosure naming 株式会社バディキャピタル
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 April 2026
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: Jun 14, 2026, 03:32 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
- 株式会社バディキャピタルJapanese onlyOriginal: 株式会社バディキャピタル
- 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
- Industry context
- 金融商品取引業
Violation
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
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
- 2026-04-25T00:27:19.253+00:00
- Evidence checked
- 2026-04-25T00:27:19.253+00:00
- Archive captured
- 2026-06-14T06:32:56.406855+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": 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 (株式会社バディキャピタル). 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-badeikiyapitaru-20260417",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260417-2.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/985504a6a9denlq0",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260417-2.html",
"archiveCapturedAt": "2026-06-14T06:32:56.406855+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": "2026-09-18T19:42:17.265Z"
},
"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.