Recommendation against マーチャントブレインズ投資顧問株式会社

マーチャントブレインズ投資顧問株式会社 (Financial Instruments and Exchange Act)

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionConfirmed entity match30 September 2022

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Action summary

Company: マーチャントブレインズ投資顧問株式会社Japanese original
Original: マーチャントブレインズ投資顧問株式会社
Corporate Number: 9010001175146
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: 30 September 2022
Issuing authority: Securities and Exchange Surveillance Commission
証券取引等監視委員会

Violation

Machine-translated summary — verify against original

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

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: 2026-04-24T23:25:37.646+00:00
Evidence checked: 2026-04-24T23:25:37.646+00:00
Archive captured: 2026-04-05T18:30:43.066+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": "マーチャントブレインズ投資顧問株式会社",
    "corporate_number": "9010001175146",
    "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-matiyantobureinzutou-zi-gu-wen-20220930",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2022/2022/20220930-1.html",
    "archiveUrl": "https://kiroku.today/view/cecd526f84m3k8q2",
    "archiveCapturedAt": "2026-04-05T18:30:43.066+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": "2026-06-19T08:22:56.253Z"
  },
  "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: マーチャントブレインズ投資顧問株式会社 Japanese original
Japanese name: マーチャントブレインズ投資顧問株式会社
Corporate Number: 9010001175146
Registered address: 東京都港区西新橋１丁目６番１２号アイオス虎ノ門１２０２号室

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.