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

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-KUROSAI--202608182207
Generated at: 19 August 2026 at 07:07
Record URL: https://regbase.jp/en/enforcement/kinshoho-kurosai-20260519

1. Review Summary

Disclosure name	株式会社クロサイ	Corporate Number	Not stated in the disclosure
Enforcement record	1 record	Other confirmed records for this company	Outside this report's scope
Action date	19 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	株式会社クロサイ

3. Enforcement Record

Target name in disclosure	株式会社クロサイ
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: 19 May 2026 / Announcement: 19 May 2026
English summary	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.
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。
Official source	https://www.fsa.go.jp/sesc/news/c_2026/2026/20260519-1.html
Source archive	https://kiroku.today/a/d009597737cl2of4
Extraction / evidence timestamps	Extracted: 19 May 2026 at 21:02 / Evidence checked: 19 May 2026 at 21:02 / Archive captured: 19 May 2026 at 21:02

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

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Free report

Save the disclosure record naming 株式会社クロサイ

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Preserved evidence by Kiroku

Review the preserved source for 株式会社クロサイ

Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.

Open preserved source and evidence pack

For developers: JSON integration details

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/api/v1/enforcements?company=%E6%A0%AA%E5%BC%8F%E4%BC%9A%E7%A4%BE%E3%82%AF%E3%83%AD%E3%82%B5%E3%82%A4&limit=10

Open JSON Specs

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.

Evidence pack

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": "2026-08-18T22:07:25.117Z"
  },
  "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.