法令違反行為 against K.K. Badeikiyapitaru
Action summary
- Company
- K.K. BadeikiyapitaruRomanizedOriginal: 株式会社バディキャピタルCorporate Number: 6011001137238
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- 法令違反行為法令違反行為
- Action date
- Unknown
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
Violation
The company did not secure 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 comparable to or exceeding that of the representative director, were deeply involved in the establishment and operation of sales offices, and influenced management. There were also violations including recommendations and transaction support for cryptocurrencies by sales personnel, 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。
Source
Original Securities and Exchange Surveillance Commission announcement (in Japanese)The original Japanese disclosure is the authoritative record.
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Language
日本語版を見る (Japanese)Company info
- English name
- K.K. Badeikiyapitaru Romanized
- 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
About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.