Enforcement record
Recommendation disclosure naming キャピタル・パートナーズ証券株式会社
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, 09:03 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.
Available sources and saved files are listed in the public documents section below.
Public documents and saved materials
View the original publications, see what was preserved, or download each file below.
Loading materials…
Action summary
- Company
- キャピタル・パートナーズ証券株式会社Japanese onlyOriginal: キャピタル・パートナーズ証券株式会社
- 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
- 証券・金融商品取引
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 involved providing clients with definitive judgments on uncertain matters or conveying information that could lead to the misconception of certainty, thereby soliciting the conclusion of financial instrument transactions. Additionally, there was a lack of sufficient measures to prevent violations of laws related to the financial instruments intermediary activities conducted by the company's affiliated securities intermediaries.
Show original Japanese text
顧客に不確実な事項について断定的判断を提供し、又は確実であると誤解させるおそれのあることを告げて金融商品取引契約の締結の勧誘をする行為、委託を行った金融商品仲介業者の金融商品仲介業に係る法令に違反する行為を防止するための措置が十分でないと認められる状況
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.