Enforcement record
Recommendation disclosure naming 株式会社ＦＸプライムbyＧＭＯ
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
4 August 2020
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-FXPURAIM-202608182253
- Generated at
- 19 August 2026 at 07:53
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-fxpuraimubygmo-20200804
1. Review Summary
| Disclosure name | 株式会社ＦＸプライムbyＧＭＯ | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 4 August 2020 | 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ＦＸプライムbyＧＭＯ |
|---|
3. Enforcement Record
| Target name in disclosure | 株式会社ＦＸプライムbyＧＭＯ |
|---|---|
| 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: 4 August 2020 / Announcement: 11 March 2026 |
| English summary | The company's trading system for over-the-counter foreign exchange margin trading has a design that cannot eliminate the occurrence of slippage, which is the price difference between the order execution price and the initial order price, during the period from order placement to execution in the case of market orders. The company was aware of this system specification through internal reviews conducted in 2014 regarding slippage, reports from the system department head, and shared understanding among directors and legal compliance officers. Additionally, information from customers about the occurrence of slippage has been received, including at least in 2018, when such information was shared among the representative director, directors, managers, and group leaders. In an investigation commissioned to an external research company, Company A, it was confirmed that slippage had occurred multiple times in the company's system. Despite knowing this, the company did not take measures to verify the potential for slippage in its system, relying instead on referencing Company A's report, which did not include findings of multiple slippages, and published advertisements claiming "No slippage (0%), according to Company A," which was factually inaccurate. |
| Original Japanese text | 当社が調査を依頼した外部の調査会社であるＡ社によるスリッページの発生率等に関する調査結果において、実際には当社システムにおいてスリッページが複数回発生していたことが確認されていたところ、当社は、上記のとおり自社のシステム仕様を認識しており、かつ、少なくとも平成30年の調査において、Ａ社から、スリッページが発生していることをうかがわせる報告を口頭で受けていたにもかかわらず、その詳細な状況の確認を含め、自社システムでスリッページが発生する可能性を実質的に検証するための措置を何ら実施することなく、Ａ社の調査報告書（スリッページが複数回発生していたとの調査結果が記載されていないもの）を引用する形式であれば問題ないものと考え、ウェブ広告等の中に、「スリッページなし（０％）、Ａ社調べ」との著しく事実に相違する記事を掲載した。 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2020/2020/20200804-3.html |
| Source archive | https://kiroku.today/a/a684826c56hdjsyw |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 08:25 / Evidence checked: 25 April 2026 at 08:25 / Archive captured: 12 July 2026 at 14:51 |
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
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Preserved evidence by Kiroku
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Action summary
- Company
- 株式会社ＦＸプライムbyＧＭＯJapanese onlyOriginal: 株式会社ＦＸプライムbyＧＭＯ
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- 4 August 2020
- 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's trading system for over-the-counter foreign exchange margin trading has a design that cannot eliminate the occurrence of slippage, which is the price difference between the order execution price and the initial order price, during the period from order placement to execution in the case of market orders. The company was aware of this system specification through internal reviews conducted in 2014 regarding slippage, reports from the system department head, and shared understanding among directors and legal compliance officers. Additionally, information from customers about the occurrence of slippage has been received, including at least in 2018, when such information was shared among the representative director, directors, managers, and group leaders. In an investigation commissioned to an external research company, Company A, it was confirmed that slippage had occurred multiple times in the company's system. Despite knowing this, the company did not take measures to verify the potential for slippage in its system, relying instead on referencing Company A's report, which did not include findings of multiple slippages, and published advertisements claiming "No slippage (0%), according to Company A," which was factually inaccurate.
Show original Japanese text
当社が調査を依頼した外部の調査会社であるＡ社によるスリッページの発生率等に関する調査結果において、実際には当社システムにおいてスリッページが複数回発生していたことが確認されていたところ、当社は、上記のとおり自社のシステム仕様を認識しており、かつ、少なくとも平成30年の調査において、Ａ社から、スリッページが発生していることをうかがわせる報告を口頭で受けていたにもかかわらず、その詳細な状況の確認を含め、自社システムでスリッページが発生する可能性を実質的に検証するための措置を何ら実施することなく、Ａ社の調査報告書（スリッページが複数回発生していたとの調査結果が記載されていないもの）を引用する形式であれば問題ないものと考え、ウェブ広告等の中に、「スリッページなし（０％）、Ａ社調べ」との著しく事実に相違する記事を掲載した。
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
- 2026-04-24T23:25:14.816+00:00
- Evidence checked
- 2026-04-24T23:25:14.816+00:00
- Archive captured
- 2026-07-12T05:51:06.441011+00:00
Show audit JSON
{
"record": {
"id": "032c4286-0c14-4f43-881e-dccfbc390ac8",
"url": "https://regbase.jp/en/enforcement/kinshoho-fxpuraimubygmo-20200804",
"company_name_original": "株式会社ＦＸプライムbyＧＭＯ",
"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": 85,
"method": "nta_strict_name_nationally_unique",
"method_label": "nta_strict_name_nationally_unique",
"notes": "NTA full-download lookup found a nationally unique exact registered-name candidate (株式会社ＦＸプライムｂｙＧＭＯ). No Corporate Number was present in the disclosure, so this remains a likely match."
},
"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-fxpuraimubygmo-20200804",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2020/2020/20200804-3.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/a684826c56hdjsyw",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2020/2020/20200804-3.html",
"archiveCapturedAt": "2026-07-12T05:51:06.441011+00:00",
"extractedAt": "2026-04-24T23:25:14.816+00:00",
"translatedAt": "2026-05-01T06:43:00.626+00:00",
"evidenceCheckedAt": "2026-04-24T23:25:14.816+00:00",
"generatedAt": "2026-08-18T22:53:06.454Z"
},
"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.