Recommendation against 立花証券株式会社

立花証券株式会社 (Financial Instruments and Exchange Act)

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionConfirmed entity match28 March 2025

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Action summary

Company: 立花証券株式会社Japanese original
Original: 立花証券株式会社
Corporate Number: 7010001049582
Entity match: Confirmed entity match95/100Machine extracted
Normalized Japanese name matched to a company profile with Corporate Number
Matched by normalized Japanese company name to an enriched company profile with a Corporate Number.
Governing law: Financial Instruments and Exchange Act
金融商品取引法
Action type: Recommendation
勧告
Action date: 28 March 2025
Issuing authority: Securities and Exchange Surveillance Commission
証券取引等監視委員会

Violation

Machine-translated summary — verify against original

In soliciting domestic stocks to elderly customers (75 years and older), acts included providing false information, making statements that could lead to misunderstandings about important matters, accepting sell orders without accurately explaining the amount of losses, emphasizing tax-saving benefits through loss offsetting strategies, and conducting one-sided trading solicitations in a short period to obtain passive consent and repeatedly accepting buy and sell orders.

Show original Japanese text

高齢顧客（75歳以上）に対する国内株式の勧誘において、虚偽のことを告げる行為及び重要な事項につき誤解を生ぜしめるべき表示をする行為、また、損失額について正確に説明しないまま売却注文を受託した事例や、損益通算による節税メリットを強調した損切り乗換勧誘、短時間で一方的に売買取引の勧誘を行い受動的な承諾のみを得て繰り返し売買を受注した事例などが含まれる。

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: 2026-04-24T23:26:26.991+00:00
Evidence checked: 2026-04-24T23:26:26.991+00:00
Archive captured: 2026-04-05T12:30:57.177+00:00

Show audit JSON

{
  "record": {
    "id": "782df54c-5b2b-4634-9de2-62b36b09edba",
    "url": "https://regbase.jp/en/enforcement/kinshoho-li-hua-zheng-quan-20250328",
    "company_name_original": "立花証券株式会社",
    "company_name_registry": "立花証券株式会社",
    "corporate_number": "7010001049582",
    "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": "confirmed",
    "confidence": 95,
    "method": "normalized_name_with_corporate_number",
    "method_label": "Normalized Japanese name matched to a company profile with Corporate Number",
    "notes": "Matched by normalized Japanese company name to an enriched company profile with a Corporate Number."
  },
  "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-li-hua-zheng-quan-20250328",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2025/2025/20250328-2.html",
    "archiveUrl": "https://kiroku.today/view/6af0e71156lqpkyx",
    "archiveCapturedAt": "2026-04-05T12:30:57.177+00:00",
    "extractedAt": "2026-04-24T23:26:26.991+00:00",
    "translatedAt": "2026-05-01T06:43:58.864+00:00",
    "evidenceCheckedAt": "2026-04-24T23:26:26.991+00:00",
    "generatedAt": "2026-06-19T08:22:37.226Z"
  },
  "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: 立花証券株式会社 Japanese original
Japanese name: 立花証券株式会社
Corporate Number: 7010001049582
Registered address: 東京都中央区日本橋茅場町１丁目１３番１４号

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.