Enforcement record

Recommendation disclosure naming 立花証券株式会社

立花証券株式会社 (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 disclosure28 March 2025

Action type

Recommendation

Law

Financial Instruments and Exchange Act

Authority

Securities and Exchange Surveillance Commission

Action date

28 March 2025

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: Jul 12, 2026, 02:52 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: 立花証券株式会社Japanese only
Original: 立花証券株式会社
Governing law: Financial Instruments and Exchange Act
金融商品取引法
Action type: Recommendation
勧告
Action date: 28 March 2025
Issuing authority: Securities and Exchange Surveillance Commission
証券取引等監視委員会
Industry context: 証券業

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.

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: 2026-04-24T23:26:26.991+00:00
Evidence checked: 2026-04-24T23:26:26.991+00:00
Archive captured: 2026-07-12T05:52:20.361564+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": 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 (立花証券株式会社). 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-li-hua-zheng-quan-20250328",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2025/2025/20250328-2.html",
    "officialDocumentUrl": null,
    "archiveUrl": "https://kiroku.today/a/6af0e71156hdjuar",
    "archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2025/2025/20250328-2.html",
    "archiveCapturedAt": "2026-07-12T05:52:20.361564+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": "2026-09-18T20:35:29.899Z"
  },
  "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.