Enforcement record
Recommendation disclosure naming moomoo証券株式会社
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
5 June 2026
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: Jun 5, 2026, 09:03 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
- moomoo証券株式会社Japanese onlyOriginal: moomoo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
- 5 June 2026
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
- Industry context
- 証券業
Violation
The Securities and Exchange Surveillance Commission advised the Prime Minister and the Financial Services Agency Commissioner to take administrative measures against moomoo Securities Co., Ltd. under Article 20, Paragraph 1 of the Financial Instruments and Exchange Act. The violations include problematic business operations affecting investor protection, improper registration procedures for NISA-targeted products, false disclosures, poor customer handling, insufficient review and judgment of suspicious transactions, inadequate management of electronic information processing systems (including system risk assessment, cybersecurity, system failure management, monitoring, auditing, governance), deficiencies in internal management systems, breach of fiduciary duty, and failure to report suspicious transactions.
Show original Japanese text
投資者保護上問題のある業務運営、NISA対象商品の登録業務における不適切な業務運営、虚偽の告知、杜撰な顧客対応、疑わしい取引の検討・判断不足、電子情報処理組織の管理不十分（システムリスク評価、サイバーセキュリティ、システム障害管理、モニタリング、監査、ガバナンス）、内部管理態勢の不備、善管注意義務違反、疑わしい取引の届出未実施。
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
- 2026-06-05T12:03:43.524+00:00
- Evidence checked
- 2026-06-05T12:03:44.377+00:00
- Archive captured
- 2026-06-05T12:03:52.224513+00:00
Show audit JSON
{
"record": {
"id": "376eeba9-fc62-48b6-becd-9dee4fc1b6d9",
"url": "https://regbase.jp/en/enforcement/kinshoho-moomoozheng-quan-20260605",
"company_name_original": "moomoo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 (ｍｏｏｍｏｏ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-moomoozheng-quan-20260605",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260605-2.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/cc7c043df90vljjs",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260605-2.html",
"archiveCapturedAt": "2026-06-05T12:03:52.224513+00:00",
"extractedAt": "2026-06-05T12:03:43.524+00:00",
"translatedAt": "2026-07-06T06:03:01.039+00:00",
"evidenceCheckedAt": "2026-06-05T12:03:44.377+00:00",
"generatedAt": "2026-09-18T19:42:55.846Z"
},
"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.