Possible Recommendation against ドゥラックアセットマネジメント株式会社
For developers: integration details
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/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=10Action summary
- Company
- ドゥラックアセットマネジメント株式会社Japanese originalOriginal: ドゥラックアセットマネジメント株式会社
- Entity match
- Possible entity match60/100Machine extractedCompany name extracted from the Japanese public disclosureCreated from the Japanese company name extracted from the public disclosure. No independent Corporate Number match was available at extraction time.
- 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
Violation
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
- 2026-06-02T12:02:42.197+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": "ドゥラックアセットマネジメント株式会社",
"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": "possible",
"confidence": 60,
"method": "extracted_japanese_name",
"method_label": "Company name extracted from the Japanese public disclosure",
"notes": "Created from the Japanese company name extracted from the public disclosure. No independent Corporate Number match was available at extraction time."
},
"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",
"archiveUrl": "https://kiroku.today/view/ad2f594dc0wl8nqq",
"archiveCapturedAt": "2026-06-02T12:02:42.197+00:00",
"extractedAt": "2026-06-02T12:02:41.547+00:00",
"translatedAt": null,
"evidenceCheckedAt": "2026-06-02T12:02:42.43+00:00",
"generatedAt": "2026-06-02T21:10:16.470Z"
},
"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)Company info
- English name
- ドゥラックアセットマネジメント株式会社 Japanese original
- Japanese name
- ドゥラックアセットマネジメント株式会社
About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.