Enforcement record

Recommendation disclosure naming ドゥラックアセットマネジメント株式会社

ドゥラックアセットマネジメント株式会社 (Financial Instruments and Exchange Act)

This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionGovernment disclosure2 June 2026

Action type

Recommendation

Law

Financial Instruments and Exchange Act

Authority

Securities and Exchange Surveillance Commission

Action date

2 June 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 2, 2026, 09:02 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.

The source links remain available without purchase in the collapsed section below. The paid report consolidates all included URLs and review records into one print-ready document.

Paid report (sample available)

One-time purchase

Preview the internal-submission report layout for ドゥラックアセットマネジメント株式会社

First review the exact document sections and A4 print layout with entirely fictitious data. On the next page, review the included fields, value, and price before deciding whether to purchase.

Layout suitable for 1 enforcement record currently shown for this target
Source, preservation-status, and reviewer-field examples

This target currently has saved Kiroku information; the sample shows where preservation details appear.

Review report details & free sample

Same layout, with entirely fictitious data. No payment required; opens in a new tab.

This report organizes public-source information. It is not a credit score, anti-social-forces determination, sanctions result, or legal opinion.

For developers: JSON integration details

You do not need this for normal browsing. Use it only when integrating this enforcement record into an internal tool or AI workflow.

/api/v1/enforcements?company=%E3%83%89%E3%82%A5%E3%83%A9%E3%83%83%E3%82%AF%E3%82%A2%E3%82%BB%E3%83%83%E3%83%88%E3%83%9E%E3%83%8D%E3%82%B8%E3%83%A1%E3%83%B3%E3%83%88%E6%A0%AA%E5%BC%8F%E4%BC%9A%E7%A4%BE&limit=10

Open JSON Specs

Action summary

Company: ドゥラックアセットマネジメント株式会社Japanese only
Original: 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

Machine-translated summary — verify against original

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

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.

Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive

Original Securities and Exchange Surveillance Commission source (Japanese)Open preserved source and 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": "2026-09-07T17:58:19.561Z"
  },
  "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.