Enforcement record
Recommendation disclosure naming マーチャントブレインズ投資顧問株式会社
This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.
Action type
Recommendation
Law
Financial Instruments and Exchange Act
Authority
Securities and Exchange Surveillance Commission
Action date
30 September 2022
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, 02:51 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
- マーチャントブレインズ投資顧問株式会社Japanese onlyOriginal: マーチャントブレインズ投資顧問株式会社
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- 30 September 2022
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
- Industry context
- 投資顧問業
Violation
Regarding the conclusion or solicitation of financial instrument contracts, acts such as providing false information. Specifically, in emails and advertisements on advisory sites, false information was conveyed to solicit the conclusion of investment advisory contracts. The false content included statements claiming possession of special information without actually obtaining it, limiting the number of contracts, claiming to have no track record of advice on certain stocks, and stating that analysis items and target stock prices were calculated.
Show original Japanese text
金融商品取引契約の締結又はその勧誘に関して、虚偽のことを告げる行為等。具体的には、メールマガジンや助言サイト上の広告において、虚偽の情報を告げて投資顧問契約の締結の勧誘を行った。虚偽の内容には、特別な情報を入手していないにもかかわらず入手しているとする記載、契約人数を限定しているとする記載、助言実績のない銘柄であるとする記載、分析項目数や目標株価の算出を行っているとする記載が含まれる。
Compliance context
MediumA 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
- Extracted at
- 2026-04-24T23:25:37.646+00:00
- Evidence checked
- 2026-04-24T23:25:37.646+00:00
- Archive captured
- 2026-07-12T05:51:48.32943+00:00
Show audit JSON
{
"record": {
"id": "0601e0dd-ed30-4a04-a7d7-79ebf7036d19",
"url": "https://regbase.jp/en/enforcement/kinshoho-matiyantobureinzutou-zi-gu-wen-20220930",
"company_name_original": "マーチャントブレインズ投資顧問株式会社",
"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 (マーチャントブレインズ投資顧問株式会社). 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-matiyantobureinzutou-zi-gu-wen-20220930",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2022/2022/20220930-1.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/cecd526f84hdjtlb",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2022/2022/20220930-1.html",
"archiveCapturedAt": "2026-07-12T05:51:48.32943+00:00",
"extractedAt": "2026-04-24T23:25:37.646+00:00",
"translatedAt": "2026-05-01T06:43:15.867+00:00",
"evidenceCheckedAt": "2026-04-24T23:25:37.646+00:00",
"generatedAt": "2026-10-03T11:02:27.639Z"
},
"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.