Possible Recommendation against 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)
Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionPossible entity match2 June 2026
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Action summary

Company
Original: 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 extracted
Company name extracted from the Japanese public disclosure
Created 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

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.

Evidence pack

Original Securities and Exchange Surveillance Commission announcement (Japanese)Archived source snapshot
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.

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
See company profile →

About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.