Enforcement record

Recommendation disclosure naming 株式会社Ｇ＆Ｄアドヴァイザーズ

株式会社Ｇ＆Ｄアドヴァイザーズ (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 disclosure11 April 2025

Action type

Recommendation

Law

Financial Instruments and Exchange Act

Authority

Securities and Exchange Surveillance Commission

Action date

11 April 2025

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: Completed archive verified; Captured: Jul 12, 2026, 02:52 PM JST

“Confirmed” means that RegBase matched this record to the cited public disclosure or entity under the stated checks. It does not verify the truth of the disclosure or guarantee the entity’s current status, creditworthiness, or any legal conclusion.

Open the official source links in the section below to review the original disclosure.

Action summary

Company: 株式会社Ｇ＆ＤアドヴァイザーズJapanese only
Original: 株式会社Ｇ＆Ｄアドヴァイザーズ
Governing law: Financial Instruments and Exchange Act
金融商品取引法
Action type: Recommendation
勧告
Action date: 11 April 2025
Issuing authority: Securities and Exchange Surveillance Commission
証券取引等監視委員会
Industry context: 投資助言・代理業

Violation

Machine-translated summary — verify against original

1. Situations where faithful investment advisory services are not being provided to clients: a. Buying securities before providing investment advice on specific stocks and selling them after advice, using securities accounts in third-party names, resulting in approximately 2.28 million yen in sale profit. b. Overlooking conflicts of interest transactions and lacking a system to prevent them: The company had insufficient regulations and management systems to prevent conflicts of interest transactions, and the representative director and compliance officer did not manage them, leading to overlooked inappropriate transactions by Director Ko. 2. Acts of providing false information to clients regarding the solicitation of conclusion of financial instruments transactions: a. Providing false information, including fabricated achievements of fictitious information providers, false forecasts of stock price increases, false records of past achievements, and false records of acquisitions in email magazines. b. Using statements in email magazines that mislead clients into believing they obtained highly reliable information. These acts violate laws and regulations and involve false or misleading representations. 3. Acts of providing special benefits to clients regarding financial instruments transactions: Extending investment advisory contracts and continuing advice free of charge, providing a total of 8.88 million yen in special benefits. This was due to inadequate management of investment advisory contracts and resulted in improper benefit provision to clients.

Show original Japanese text

⑴　顧客のため忠実に投資助言業務が行われていない状況ア　単体スポット銘柄の投資助言前に当該銘柄を買い付け、投資助言後に売り付ける行為　当社において、投資助言を行った単体スポット銘柄の買付けと売却を第三者名義の証券口座を使い、買い付け前に行い、売却後に売り付ける取引を行っていた。なお、当該取引により約228万円の売却益が生じていた。イ　利益相反取引を見過ごし、防止する態勢を構築していない状況　当社は利益相反取引を防止するための規程や管理態勢が不十分であり、代表取締役やコンプライアンス担当者も管理を行っていなかった。これにより、甲部長の不適切な取引を見過ごしていた。 ⑵　金融商品取引契約の締結の勧誘に関して顧客に対し虚偽のことを告げる行為等ア　虚偽の情報提供　メールマガジンにおいて、架空の情報提供者の実績や銘柄の高騰予測、過去の実績の虚偽記載、買収実績の虚偽記載などを行った。イ　誤解を生じさせる表示　メールマガジンにおいて、確度の高い情報を入手したと誤解させる記載を行った。　これらの行為は、法令に違反し、虚偽や誤解を招く表示を行ったものである。 ⑶　金融商品取引契約につき顧客に対し特別の利益を提供する行為　投資助言契約を締結した顧客に対し、契約期間を延長し、投資助言を無償で継続させることで、合計888万円に相当する特別の利益を提供した。これは、投資顧問契約の管理態勢の不備に起因し、顧客に対し不適切な利益提供を行ったものである。

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.

Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive

Original Securities and Exchange Surveillance Commission source (Japanese)Open preserved source and evidence pack

Extracted at: 2026-04-24T23:27:14.369+00:00
Evidence checked: 2026-04-24T23:27:14.369+00:00
Archive captured: 2026-07-12T05:52:33.889512+00:00

Show audit JSON

{
  "record": {
    "id": "432fed7f-f5a0-42dd-bca2-5bc47e83c6af",
    "url": "https://regbase.jp/en/enforcement/kinshoho-gdadovuaizazu-20250411",
    "company_name_original": "株式会社Ｇ＆Ｄアドヴァイザーズ",
    "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Ｇ＆Ｄアドヴァイザーズ). 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-gdadovuaizazu-20250411",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2025/2025/20250411-1.html",
    "officialDocumentUrl": null,
    "archiveUrl": "https://kiroku.today/a/5faf0a186dhdjv1l",
    "archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2025/2025/20250411-1.html",
    "archiveCapturedAt": "2026-07-12T05:52:33.889512+00:00",
    "extractedAt": "2026-04-24T23:27:14.369+00:00",
    "translatedAt": "2026-05-01T06:44:31.848+00:00",
    "evidenceCheckedAt": "2026-04-24T23:27:14.369+00:00",
    "generatedAt": "2026-09-18T20:35:07.944Z"
  },
  "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.