Enforcement record

Recommendation disclosure naming 株式会社エーエムアイ

株式会社エーエムアイ (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 disclosure25 March 2024

Action type

Recommendation

Law

Financial Instruments and Exchange Act

Authority

Securities and Exchange Surveillance Commission

Action date

25 March 2024

RegBase evidence report

Japanese public-record enforcement check

Saveable record of the published action, regulator source, source status, and review notes for internal compliance files.

Report ID: RB-EN-ENFORCEMENT-KINSHOHO-EEMUAI-2-202608041527
Generated at: 5 August 2026 at 00:27
Record URL: https://regbase.jp/en/enforcement/kinshoho-eemuai-20240325

1. Review Summary

Disclosure name	株式会社エーエムアイ	Corporate Number	Not stated in the disclosure
Enforcement record	1 record	Other confirmed records for this company	Outside this report's scope
Action date	25 March 2024	Authority	Securities and Exchange Surveillance Commission
Law	Financial Instruments and Exchange Act	Action type	Recommendation
Source status	Preserved public-source archive recorded

This report summarizes public Japanese government disclosure data held by RegBase. It is not a credit score, sanctions conclusion, legal opinion, or adverse-media determination. Confirm important decisions against the linked official Japanese source.

2. Published Information

Published name	株式会社エーエムアイ

3. Enforcement Record

Target name in disclosure	株式会社エーエムアイ
Authority	Securities and Exchange Surveillance Commission (証券取引等監視委員会)
Law / action type	Financial Instruments and Exchange Act / Recommendation
Action / announcement date	Action: 25 March 2024 / Announcement: 12 March 2026
English summary	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.
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。
Financial / consumer impact	Penalty: - / Affected amount: - / Affected consumers: 26
Official source	https://www.fsa.go.jp/sesc/news/c_2022/2022/20220325-2.html
Source archive	https://kiroku.today/a/6ed3d849a2hdjsul
Extraction / evidence timestamps	Extracted: 25 April 2026 at 08:25 / Evidence checked: 25 April 2026 at 08:25 / Archive captured: 12 July 2026 at 14:50

4. Business Location and Permit Details

No additional structured business-location or permit fields are recorded for this disclosure.

5. Other Confirmed Records for This Company

This report covers the single government disclosure shown on this page.

Reviewer Notes

Reviewer		Team / company
Review purpose
Additional notes

□ Official source URL or archived source was checked.
□ Corporate Number, address, or other identifiers were reviewed to avoid confusing similarly named entities.
□ This document is understood as a public-record evidence file, not a credit decision or legal opinion.

Current page: Enforcement record

This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.

Free report

Save the disclosure record naming 株式会社エーエムアイ

Includes the published name, regulator, governing law, source links, archive status, and reviewer note fields for internal due-diligence files.

Preserved evidence by Kiroku

Review the preserved source for 株式会社エーエムアイ

Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.

Open preserved source and evidence pack

For developers: JSON integration details

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/api/v1/enforcements?company=%E6%A0%AA%E5%BC%8F%E4%BC%9A%E7%A4%BE%E3%82%A8%E3%83%BC%E3%82%A8%E3%83%A0%E3%82%A2%E3%82%A4&limit=10

Open JSON Specs

Action summary

Company: 株式会社エーエムアイJapanese only
Original: 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: 25 March 2024
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
Affected consumers: 26

Violation

Machine-translated summary — verify against original

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。

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 source (Japanese)Open preserved source and evidence pack

Extracted at: 2026-04-24T23:25:31.102+00:00
Evidence checked: 2026-04-24T23:25:31.102+00:00
Archive captured: 2026-07-12T05:50:38.334339+00:00

Show audit JSON

{
  "record": {
    "id": "6bed2523-59e3-4289-87e0-1c6788ce08c1",
    "url": "https://regbase.jp/en/enforcement/kinshoho-eemuai-20240325",
    "company_name_original": "株式会社エーエムアイ",
    "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": 60,
    "method": "extracted_japanese_name",
    "method_label": "Company name extracted from the Japanese public disclosure",
    "notes": "The linked company profile has not been verified under the current identity policy."
  },
  "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-eemuai-20240325",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2022/2022/20220325-2.html",
    "officialDocumentUrl": null,
    "archiveUrl": "https://kiroku.today/a/6ed3d849a2hdjsul",
    "archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2022/2022/20220325-2.html",
    "archiveCapturedAt": "2026-07-12T05:50:38.334339+00:00",
    "extractedAt": "2026-04-24T23:25:31.102+00:00",
    "translatedAt": "2026-05-01T06:43:09.82+00:00",
    "evidenceCheckedAt": "2026-04-24T23:25:31.102+00:00",
    "generatedAt": "2026-08-04T15:27:17.567Z"
  },
  "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.