Enforcement record

Recommendation disclosure naming 株式会社クロサイ

株式会社クロサイ (Financial Instruments and Exchange Act)

This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionGovernment disclosure19 May 2026

Action type

Recommendation

Law

Financial Instruments and Exchange Act

Authority

Securities and Exchange Surveillance Commission

Action date

19 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: Completed archive verified; Captured: May 19, 2026, 09:02 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.

Open the official source links in the section below to review the original disclosure.

Action summary

Company: 株式会社クロサイJapanese only
Original: 株式会社クロサイ
Governing law: Financial Instruments and Exchange Act
金融商品取引法
Action type: Recommendation
勧告
Action date: 19 May 2026
Issuing authority: Securities and Exchange Surveillance Commission
証券取引等監視委員会
Industry context: 投資助言・代理業

Violation

Machine-translated summary — verify against original

The Securities and Exchange Surveillance Commission's recommendation concerns a registered investment advisor at KuroSai Corporation who, between June 2024 and September 2025, used a securities account in their own name to conduct 31 transactions involving 29 day-trading stocks. The advisor bought these stocks prior to advising clients to buy, concealed their ownership of the stocks from clients, and then sold them after advising the clients to buy, in violation of the Financial Instruments and Exchange Act.

Show original Japanese text

投資助言者が自己の計算において行った取引のうち、投資助言を行ったデイトレ銘柄の29銘柄について、顧客への助言前に同銘柄を買い付け、自身が保有している銘柄であることを顧客に隠して買いを助言し、助言後に売り付ける取引を31件行っていた。

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.

Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive

Original Securities and Exchange Surveillance Commission source (Japanese)Open preserved source and evidence pack

Extracted at: 2026-05-19T12:02:38.827+00:00
Evidence checked: 2026-05-19T12:02:39.911+00:00
Archive captured: 2026-05-19T12:02:48.046457+00:00

Show audit JSON

{
  "record": {
    "id": "a9da3607-78e6-437c-89b9-fa763dd4d451",
    "url": "https://regbase.jp/en/enforcement/kinshoho-kurosai-20260519",
    "company_name_original": "株式会社クロサイ",
    "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 (株式会社クロサイ). 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-kurosai-20260519",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260519-1.html",
    "officialDocumentUrl": null,
    "archiveUrl": "https://kiroku.today/a/d009597737cl2of4",
    "archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260519-1.html",
    "archiveCapturedAt": "2026-05-19T12:02:48.046457+00:00",
    "extractedAt": "2026-05-19T12:02:38.827+00:00",
    "translatedAt": "2026-07-06T06:12:37.331+00:00",
    "evidenceCheckedAt": "2026-05-19T12:02:39.911+00:00",
    "generatedAt": "2026-10-03T06:41:55.202Z"
  },
  "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.