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
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: May 15, 2026, 09:03 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
- 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.
Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive
- 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": "2026-10-03T06:44:18.980Z"
},
"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)Recent records in the same industry
About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.