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
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
- Queued for preservation
- Captured: Jun 2, 2026, 09:02 PM JST
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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.
Language
日本語版を見る (Japanese)Recent records in the same industry
About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.