Possible Recommendation against 匠投資顧問株式会社
Action summary
- Company
- 匠投資顧問株式会社Japanese onlyOriginal: 匠投資顧問株式会社
- Entity match
- Possible entity match60/100Machine extractedCompany name extracted from the Japanese public disclosureCreated from the Japanese company name extracted from the public disclosure. No independent Corporate Number match was available at extraction time.
- 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
Violation
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
- 2026-05-15T12:02:59.235+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": "匠投資顧問株式会社",
"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": "possible",
"confidence": 60,
"method": "extracted_japanese_name",
"method_label": "Company name extracted from the Japanese public disclosure",
"notes": "Created from the Japanese company name extracted from the public disclosure. No independent Corporate Number match was available at extraction time."
},
"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",
"archiveUrl": "https://kiroku.today/view/ce7d6bc06e6vbovs",
"archiveCapturedAt": "2026-05-15T12:02:59.235+00:00",
"extractedAt": "2026-05-15T12:02:58.599+00:00",
"translatedAt": null,
"evidenceCheckedAt": "2026-05-15T12:02:59.481+00:00",
"generatedAt": "2026-05-15T13:54:53.499Z"
},
"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.