Enforcement record
Recommendation disclosure naming 株式会社Ｇ＆Ｄアドヴァイザーズ
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
11 April 2025
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-GDADOVUA-202608041528
- Generated at
- 5 August 2026 at 00:28
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-gdadovuaizazu-20250411
1. Review Summary
| Disclosure name | 株式会社Ｇ＆Ｄアドヴァイザーズ | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 11 April 2025 | 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Ｇ＆Ｄアドヴァイザーズ |
|---|
3. Enforcement Record
| Target name in disclosure | 株式会社Ｇ＆Ｄアドヴァイザーズ |
|---|---|
| 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: 11 April 2025 / Announcement: 12 March 2026 |
| English summary | 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. |
| 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。 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2025/2025/20250411-1.html |
| Source archive | https://kiroku.today/a/5faf0a186dhdjv1l |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 08:27 / Evidence checked: 25 April 2026 at 08:27 / Archive captured: 12 July 2026 at 14:52 |
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.
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Action summary
- Company
- 株式会社Ｇ＆ＤアドヴァイザーズJapanese onlyOriginal: 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
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
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
- 2026-04-24T23:27:14.369+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": "2026-08-04T15:28:58.589Z"
},
"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.