Possible Recommendation against クリエイトジャパン株式会社

クリエイトジャパン株式会社 (Financial Instruments and Exchange Act)

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionPossible entity match13 November 2020

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/api/v1/enforcements?company=%E3%82%AF%E3%83%AA%E3%82%A8%E3%82%A4%E3%83%88%E3%82%B8%E3%83%A3%E3%83%91%E3%83%B3%E6%A0%AA%E5%BC%8F%E4%BC%9A%E7%A4%BE&limit=10

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Action summary

Company: クリエイトジャパン株式会社Japanese original
Original: クリエイトジャパン株式会社
Entity match: Possible entity match60/100Machine extracted
Company name extracted from the Japanese public disclosure
Governing law: Financial Instruments and Exchange Act
金融商品取引法
Action type: Recommendation
勧告
Action date: 13 November 2020
Issuing authority: Securities and Exchange Surveillance Commission
証券取引等監視委員会

Violation

Machine-translated summary — verify against original

The company handles exchange margin trading. Between January 2019 and January 2020, an investigation into the telephone solicitation activities related to new account openings for 74 prospective clients conducted by 32 sales staff members was carried out. The investigation found the following facts: A. Violation of obligation to confirm acceptance of solicitation: 10 sales staff members, after being refused by prospective clients to open new accounts, engaged in solicitation activities without confirming whether the clients accepted the solicitation, in order to avoid losing the opportunity to solicit. B. Violation of prohibition on re-solicitation: 30 sales staff members, despite receiving rejection from 40 prospective clients to continue solicitation, prioritized their own sales performance and later made follow-up calls to re-solicit the clients.

Show original Japanese text

当社は、取引所為替証拠金取引を取り扱っているところ、平成31年１月から令和２年１月までの期間において、当社営業員32名が行った見込顧客74名に対する新規口座開設に向けた当該取引に係る電話勧誘の状況について検証した結果、以下の事実が認められた。ア　勧誘受諾意思確認義務違反　営業員10名は、見込顧客から新規口座開設に向けた勧誘を拒絶され、勧誘を行うことができなくなることを避けるため、18名の見込顧客に対し、当該勧誘に先立って、勧誘受諾意思の有無を確認することなく勧誘行為を行っていた。イ　再勧誘の禁止違反　営業員30名は、40名の見込顧客から勧誘継続の拒絶の意思表示を受けたにもかかわらず、営業員自身の営業成績の向上を優先し、後日、電話を架けて再び勧誘行為を行っていた。

Compliance context

Medium

A 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

Original Securities and Exchange Surveillance Commission announcement (Japanese)Archived source snapshot

Extracted at: 2026-04-24T23:25:00.334+00:00
Evidence checked: 2026-04-24T23:25:00.334+00:00
Archive captured: 2026-04-05T18:30:50.32+00:00

Show audit JSON

{
  "record": {
    "id": "25054b12-192c-48dc-b2f6-cd0e269259ca",
    "url": "https://regbase.jp/en/enforcement/kinshoho-kurieitoziyapan-20201113",
    "company_name_original": "クリエイトジャパン株式会社",
    "company_name_registry": "クリエイトジャパン株式会社",
    "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": null
  },
  "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-kurieitoziyapan-20201113",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2020/2020/20201113-1.html",
    "archiveUrl": "https://kiroku.today/view/713235c46bm3keb5",
    "archiveCapturedAt": "2026-04-05T18:30:50.32+00:00",
    "extractedAt": "2026-04-24T23:25:00.334+00:00",
    "translatedAt": "2026-05-01T06:42:53.106+00:00",
    "evidenceCheckedAt": "2026-04-24T23:25:00.334+00:00",
    "generatedAt": "2026-05-22T15:17:01.815Z"
  },
  "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)

Company info

English name: クリエイトジャパン株式会社 Japanese original
Japanese name: クリエイトジャパン株式会社

See company profile →

About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.