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
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-BADEIKIY-202608041424
- Generated at
- 4 August 2026 at 23:24
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-badeikiyapitaru-20260417
1. Review Summary
| Disclosure name | 株式会社バディキャピタル | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 17 April 2026 | 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 | 株式会社バディキャピタル |
|---|
3. Enforcement Record
| Target name in disclosure | 株式会社バディキャピタル |
|---|---|
| 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: 17 April 2026 / Announcement: 21 April 2026 |
| English summary | 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. |
| 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。 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2026/2026/20260417-2.html |
| Source archive | https://kiroku.today/a/985504a6a9denlq0 |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 09:27 / Evidence checked: 25 April 2026 at 09:27 / Archive captured: 14 June 2026 at 15:32 |
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.
Free report
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Preserved evidence by Kiroku
Review the preserved source for 株式会社バディキャピタル
Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.
For developers: JSON integration details
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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.
Evidence pack
- 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": "2026-08-04T14:24:11.857Z"
},
"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.