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
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-KIYAPITA-202607261618
- Generated at
- 27 July 2026 at 01:18
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-kiyapitarupatonazuzheng-quan-20260529
1. Review Summary
| Disclosure name | キャピタル・パートナーズ証券株式会社 | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 29 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 | キャピタル・パートナーズ証券株式会社 |
|---|
3. Enforcement Record
| Target name in disclosure | キャピタル・パートナーズ証券株式会社 |
|---|---|
| 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: 29 May 2026 / Announcement: 29 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 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. |
| 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 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2026/2026/20260529-1.html |
| Source archive | https://kiroku.today/a/8dd9302835qvints |
| Extraction / evidence timestamps | Extracted: 29 May 2026 at 21:03 / Evidence checked: 29 May 2026 at 21:03 / Archive captured: 29 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 キャピタル・パートナーズ証券株式会社
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 キャピタル・パートナーズ証券株式会社
Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.
For developers: JSON integration details
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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.
Evidence pack
- Extracted at
- 2026-05-29T12:03:47.172+00:00
- Evidence checked
- 2026-05-29T12:03:48.187+00:00
- Archive captured
- 2026-05-29T12:03:57.73812+00:00
Show audit JSON
{
"record": {
"id": "0468de8a-8d62-42b2-ab54-f96b1f79e9e0",
"url": "https://regbase.jp/en/enforcement/kinshoho-kiyapitarupatonazuzheng-quan-20260529",
"company_name_original": "キャピタル・パートナーズ証券株式会社",
"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 (キャピタル・パートナーズ証券株式会社). 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-kiyapitarupatonazuzheng-quan-20260529",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260529-1.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/8dd9302835qvints",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260529-1.html",
"archiveCapturedAt": "2026-05-29T12:03:57.73812+00:00",
"extractedAt": "2026-05-29T12:03:47.172+00:00",
"translatedAt": "2026-07-06T06:11:56.934+00:00",
"evidenceCheckedAt": "2026-05-29T12:03:48.187+00:00",
"generatedAt": "2026-07-26T16:18:34.118Z"
},
"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.