Enforcement record
Recommendation disclosure naming キャピタル フィナンシャルアドバイザーズ株式会社
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
29 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
- Queued for preservation
- Captured: May 29, 2026, 09:04 PM JST
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Action summary
- Company
- キャピタル フィナンシャルアドバイザーズ株式会社Japanese onlyOriginal: キャピタル フィナンシャルアドバイザーズ株式会社
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- 29 May 2026
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
- Industry context
- 金融商品仲介業
Violation
The company's sales staff emphasized high yields on Turkish lira bonds and the high credit rating of the issuer, highlighting benefits such as repayment safety, while failing to explain the risks associated with currency exchange rate reversals, break-even exchange rates, or potential losses. As a result of inadequate management systems to ensure the appropriateness of investment solicitation, the company repeatedly violated laws over many years. The recommendation was issued by the Securities and Exchange Surveillance Commission.
Show original Japanese text
当社の営業員が、トルコ・リラ債に関し、外貨ベースの高利回りや、当該債券の発行体が高格付であることによる償還金支払いの安全性といったメリットのみを強調する一方で、リラ／円の為替反転を期待させる説明をしつつ、損益分岐点となる為替レートや取引による損失が発生する可能性などのデメリットについて顧客に対し具体的に説明していない。
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.
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.