Recommendation against K.K. Eemuai
Action summary
- Company
- K.K. EemuaiRomanizedOriginal: 株式会社エーエムアイ
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- March 25, 2024
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
Violation
The Company, from August 2018 to December 2020, solicited investments in foreign investment securities, specifically Fund A, for 12 clients, and received compensation from the management company of Fund A related to these solicitations. Additionally, the Company solicited investments in another foreign investment security, Fund B, for 14 clients, and received compensation from the fund's management company related to these solicitations. Such actions are recognized as handling of securities offerings or private placements.
Show original Japanese text
当社は、平成30年８月から令和２年12月までの間、外国投資証券であるＡファンドについて取得勧誘（顧客12者）を行い、同ファンドの管理会社から当該取得勧誘に係る報酬を受領していたほか、別の外国投資証券であるＢファンドについて取得勧誘（顧客14者）を行い、同ファンドの運用会社から当該取得勧誘に係る報酬を受領していた。このような当社の行為は、有価証券の募集又は私募の取扱いを行ったものと認められる。
Source
Original Securities and Exchange Surveillance Commission announcement (in Japanese)The original Japanese disclosure is the authoritative record.
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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.