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

Action summary

Company

株式会社Ｇ＆ＤアドヴァイザーズJapanese original

Original: 株式会社Ｇ＆Ｄアドヴァイザーズ

Corporate Number: 2011001053827

Entity match

Confirmed entity match95/100Machine extracted

Normalized Japanese name matched to a company profile with Corporate Number

Matched by normalized Japanese company name to an enriched company profile with a Corporate Number.

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

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.

This context is an operational aid for review workflows, not a credit opinion or legal conclusion.

Evidence pack

{
  "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": "株式会社Ｇ＆Ｄアドヴァイザーズ",
    "corporate_number": "2011001053827",
    "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": "confirmed",
    "confidence": 95,
    "method": "normalized_name_with_corporate_number",
    "method_label": "Normalized Japanese name matched to a company profile with Corporate Number",
    "notes": "Matched by normalized Japanese company name to an enriched company profile with a Corporate Number."
  },
  "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",
    "archiveUrl": "https://kiroku.today/view/5faf0a186dlqpe6o",
    "archiveCapturedAt": "2026-04-05T12:30:48.386+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": "2026-06-19T08:21:09.627Z"
  },
  "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.