Recommendation against 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)

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionConfirmed entity match14 April 2020

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Action summary

Company: 株式会社IGMフィナンシャルグループJapanese original
Original: 株式会社IGMフィナンシャルグループ
Corporate Number: 7011101043839
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: 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 announcement (Japanese)Archived source snapshot

Extracted at: 2026-04-24T23:25:23.602+00:00
Evidence checked: 2026-04-24T23:25:23.602+00:00
Archive captured: 2026-04-05T18:30:47.358+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": "株式会社IGMフィナンシャルグループ",
    "corporate_number": "7011101043839",
    "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-igmhuinansiyarugurupu-20200414",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2020/2020/20200414-1.html",
    "archiveUrl": "https://kiroku.today/view/159a66e2bdm3kc1v",
    "archiveCapturedAt": "2026-04-05T18:30:47.358+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": "2026-05-22T08:25:42.443Z"
  },
  "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)

Company info

English name: 株式会社IGMフィナンシャルグループ Japanese original
Japanese name: 株式会社IGMフィナンシャルグループ
Corporate Number: 7011101043839
Registered address: 東京都渋谷区千駄ヶ谷１丁目２０番３号バルビゾンビル１１番館２０５号

See company profile →

About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.