Enforcement record
Recommendation disclosure naming ドゥラックアセットマネジメント株式会社
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
2 June 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-DOURATUK-202607180058
- Generated at
- 18 July 2026 at 09:58
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-douratukuasetutomanezimento-20260602
1. Review Summary
| Disclosure name | ドゥラックアセットマネジメント株式会社 | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 2 June 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 | ドゥラックアセットマネジメント株式会社 |
|---|
3. Enforcement Record
| Target name in disclosure | ドゥラックアセットマネジメント株式会社 |
|---|---|
| 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: 2 June 2026 / Announcement: 2 June 2026 |
| English summary | The company exhibited major deficiencies in its management and internal control systems, with management personnel including the representative Takahashi failing to perform necessary verifications and confirmations under the Financial Instruments and Exchange Act. This resulted in multiple violations, such as not providing information about sales offices during client contract negotiations, inadequate oversight of sales activities, insufficient management of advisory records, and lack of compliance training. Internal audits and supervision of sales staff were also ineffective, and activities by non-employee personnel at sales offices were not properly monitored. |
| Original Japanese text | 経営管理態勢及び内部管理態勢に重大な不備があり、役員の実働状況や助言業務の管理、営業員の実態把握、内部監査が機能していなかった。営業所での助言業務に関して、役員以外の者による営業活動や、営業員の営業実態の把握不足、助言記録の管理不備、法令遵守の研修未実施などがあった。 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2026/2026/20260602-1.html |
| Source archive | https://kiroku.today/a/ad2f594dc0wl8nqq |
| Extraction / evidence timestamps | Extracted: 2 June 2026 at 21:02 / Evidence checked: 2 June 2026 at 21:02 / Archive captured: 2 June 2026 at 21:02 |
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.
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Preserved evidence by Kiroku
Review the preserved source for ドゥラックアセットマネジメント株式会社
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
- ドゥラックアセットマネジメント株式会社Japanese onlyOriginal: ドゥラックアセットマネジメント株式会社
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- 2 June 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 exhibited major deficiencies in its management and internal control systems, with management personnel including the representative Takahashi failing to perform necessary verifications and confirmations under the Financial Instruments and Exchange Act. This resulted in multiple violations, such as not providing information about sales offices during client contract negotiations, inadequate oversight of sales activities, insufficient management of advisory records, and lack of compliance training. Internal audits and supervision of sales staff were also ineffective, and activities by non-employee personnel at sales offices were not properly monitored.
Show original Japanese text
経営管理態勢及び内部管理態勢に重大な不備があり、役員の実働状況や助言業務の管理、営業員の実態把握、内部監査が機能していなかった。営業所での助言業務に関して、役員以外の者による営業活動や、営業員の営業実態の把握不足、助言記録の管理不備、法令遵守の研修未実施などがあった。
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
- 2026-06-02T12:02:41.547+00:00
- Evidence checked
- 2026-06-02T12:02:42.43+00:00
- Archive captured
- 2026-06-02T12:02:51.202865+00:00
Show audit JSON
{
"record": {
"id": "50404e37-4201-4312-b2d7-f5a5a7fe17a7",
"url": "https://regbase.jp/en/enforcement/kinshoho-douratukuasetutomanezimento-20260602",
"company_name_original": "ドゥラックアセットマネジメント株式会社",
"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 (ドゥラックアセットマネジメント株式会社). 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-douratukuasetutomanezimento-20260602",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260602-1.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/ad2f594dc0wl8nqq",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260602-1.html",
"archiveCapturedAt": "2026-06-02T12:02:51.202865+00:00",
"extractedAt": "2026-06-02T12:02:41.547+00:00",
"translatedAt": "2026-07-06T06:03:17.93+00:00",
"evidenceCheckedAt": "2026-06-02T12:02:42.43+00:00",
"generatedAt": "2026-07-18T00:58:22.145Z"
},
"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.