Enforcement record

Recommendation disclosure naming 株式会社IGMフィナンシャルグループ

株式会社IGMフィナンシャルグループ (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 disclosure14 April 2020

Action type

Recommendation

Law

Financial Instruments and Exchange Act

Authority

Securities and Exchange Surveillance Commission

Action date

14 April 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-IGMHUINA-202607272011
Generated at: 28 July 2026 at 05:11
Record URL: https://regbase.jp/en/enforcement/kinshoho-igmhuinansiyarugurupu-20200414

1. Review Summary

Disclosure name	株式会社IGMフィナンシャルグループ	Corporate Number	Not stated in the disclosure
Enforcement record	1 record	Other confirmed records for this company	Outside this report's scope
Action date	14 April 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IGMフィナンシャルグループ

3. Enforcement Record

Target name in disclosure	株式会社IGMフィナンシャルグループ
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: 14 April 2020 / Announcement: 12 March 2026
English summary	Regarding the solicitation of concluding financial instrument transactions, acts of informing clients falsely and providing misleading representations about important matters. Specifically, despite losses occurring in advisory performance, profits were recorded; securities not subject to advice were claimed to have been advised; and external AI analysis results were falsely presented as actual performance.
Original Japanese text	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及び重要な事項につき誤解を生ぜしめるべき表示をする行為。具体的には、助言実績に関して損失が発生していたにもかかわらず利益と記載したり、助言を行っていない銘柄を助言したと記載したり、外部のAI分析結果を実績と偽って表示したりした。
Official source	https://www.fsa.go.jp/sesc/news/c_2020/2020/20200414-1.html
Source archive	https://kiroku.today/a/159a66e2bdhdjs54
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IGMフィナンシャルグループ

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IGMフィナンシャルグループ

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%BEIGM%E3%83%95%E3%82%A3%E3%83%8A%E3%83%B3%E3%82%B7%E3%83%A3%E3%83%AB%E3%82%B0%E3%83%AB%E3%83%BC%E3%83%97&limit=10

Open JSON Specs

Action summary

Company: 株式会社IGMフィナンシャルグループJapanese only
Original: 株式会社IGMフィナンシャルグループ
Governing law: Financial Instruments and Exchange Act
金融商品取引法
Action type: Recommendation
勧告
Action date: 14 April 2020
Issuing authority: Securities and Exchange Surveillance Commission
証券取引等監視委員会

Violation

Machine-translated summary — verify against original

Regarding the solicitation of concluding financial instrument transactions, acts of informing clients falsely and providing misleading representations about important matters. Specifically, despite losses occurring in advisory performance, profits were recorded; securities not subject to advice were claimed to have been advised; and external AI analysis results were falsely presented as actual performance.

Show original Japanese text

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及び重要な事項につき誤解を生ぜしめるべき表示をする行為。具体的には、助言実績に関して損失が発生していたにもかかわらず利益と記載したり、助言を行っていない銘柄を助言したと記載したり、外部のAI分析結果を実績と偽って表示したりした。

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: 2026-04-24T23:25:23.602+00:00
Evidence checked: 2026-04-24T23:25:23.602+00:00
Archive captured: 2026-07-12T05:50:26.993539+00:00

Show audit JSON

{
  "record": {
    "id": "ad362c33-aad1-480c-a2b6-e67d4d45e3f3",
    "url": "https://regbase.jp/en/enforcement/kinshoho-igmhuinansiyarugurupu-20200414",
    "company_name_original": "株式会社IGMフィナンシャルグループ",
    "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ＩＧＭフィナンシャルグループ). 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-igmhuinansiyarugurupu-20200414",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2020/2020/20200414-1.html",
    "officialDocumentUrl": null,
    "archiveUrl": "https://kiroku.today/a/159a66e2bdhdjs54",
    "archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2020/2020/20200414-1.html",
    "archiveCapturedAt": "2026-07-12T05:50:26.993539+00:00",
    "extractedAt": "2026-04-24T23:25:23.602+00:00",
    "translatedAt": "2026-05-01T06:43:06.985+00:00",
    "evidenceCheckedAt": "2026-04-24T23:25:23.602+00:00",
    "generatedAt": "2026-07-27T20:11:27.841Z"
  },
  "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.