Enforcement record
Recommendation disclosure naming 匠投資顧問株式会社
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
15 May 2026
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-JIANG-TO-202608182208
- Generated at
- 19 August 2026 at 07:08
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-jiang-tou-zi-gu-wen-20260515
1. Review Summary
| Disclosure name | 匠投資顧問株式会社 | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 15 May 2026 | 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 | 匠投資顧問株式会社 |
|---|
3. Enforcement Record
| Target name in disclosure | 匠投資顧問株式会社 |
|---|---|
| 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: 15 May 2026 / Announcement: 15 May 2026 |
| English summary | The Securities and Exchange Surveillance Commission advised the Prime Minister and the Financial Services Agency Commissioner to take administrative measures based on Article 20, Paragraph 1 of the Financial Instruments and Exchange Act. The violations include not faithfully managing investments for clients with discretionary investment contracts, continuing investments despite funds flowing out of client medical corporations, not managing client investment funds, providing reports with false information, accepting deposits of money from clients related to discretionary investment services, failure to deliver investment reports, failure to report violations of laws by officers and employees, and breach of the duty of care in investment advisory services. |
| Original Japanese text | 投資一任契約を締結した顧客のため忠実に投資運用業を行っていない状況等、投資先医療法人から資金が流出している状況で投資一任契約に基づく投資を継続していた状況、顧客の投資資金の運用が行われていない状況、事実と異なる内容の運用報告を行っていた状況、投資一任業に関して顧客から金銭の預託を受けていた状況、運用報告書の未交付、役職員の法令違反行為の未届出、投資助言業務に係る善管注意義務違反等が認められる。 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2026/2026/20260515-1.html |
| Source archive | https://kiroku.today/a/ce7d6bc06e6vbovs |
| Extraction / evidence timestamps | Extracted: 15 May 2026 at 21:02 / Evidence checked: 15 May 2026 at 21:02 / Archive captured: 15 May 2026 at 21:03 |
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 匠投資顧問株式会社
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 匠投資顧問株式会社
Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.
For developers: JSON integration details
You do not need this for normal browsing. Use it only when integrating this enforcement record into an internal tool or AI workflow.
Action summary
- Company
- 匠投資顧問株式会社Japanese onlyOriginal: 匠投資顧問株式会社
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- 15 May 2026
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
- Industry context
- 金融商品取引業
Violation
The Securities and Exchange Surveillance Commission advised the Prime Minister and the Financial Services Agency Commissioner to take administrative measures based on Article 20, Paragraph 1 of the Financial Instruments and Exchange Act. The violations include not faithfully managing investments for clients with discretionary investment contracts, continuing investments despite funds flowing out of client medical corporations, not managing client investment funds, providing reports with false information, accepting deposits of money from clients related to discretionary investment services, failure to deliver investment reports, failure to report violations of laws by officers and employees, and breach of the duty of care in investment advisory services.
Show original Japanese text
投資一任契約を締結した顧客のため忠実に投資運用業を行っていない状況等、投資先医療法人から資金が流出している状況で投資一任契約に基づく投資を継続していた状況、顧客の投資資金の運用が行われていない状況、事実と異なる内容の運用報告を行っていた状況、投資一任業に関して顧客から金銭の預託を受けていた状況、運用報告書の未交付、役職員の法令違反行為の未届出、投資助言業務に係る善管注意義務違反等が認められる。
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
- 2026-05-15T12:02:58.599+00:00
- Evidence checked
- 2026-05-15T12:02:59.481+00:00
- Archive captured
- 2026-05-15T12:03:07.64907+00:00
Show audit JSON
{
"record": {
"id": "7e0e987a-c62d-4a5c-98bb-8cc0059b9be2",
"url": "https://regbase.jp/en/enforcement/kinshoho-jiang-tou-zi-gu-wen-20260515",
"company_name_original": "匠投資顧問株式会社",
"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 (匠投資顧問株式会社). 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-jiang-tou-zi-gu-wen-20260515",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260515-1.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/ce7d6bc06e6vbovs",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260515-1.html",
"archiveCapturedAt": "2026-05-15T12:03:07.64907+00:00",
"extractedAt": "2026-05-15T12:02:58.599+00:00",
"translatedAt": "2026-07-06T06:12:05.819+00:00",
"evidenceCheckedAt": "2026-05-15T12:02:59.481+00:00",
"generatedAt": "2026-08-18T22:08:30.055Z"
},
"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.