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

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, 02:50 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.

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: 2026-04-24T23:25:23.602+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": "2026-09-20T22:47:44.110Z"
  },
  "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.