Enforcement record
Recommendation disclosure naming 株式会社プログレスマインド
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
12 June 2020
RegBase evidence report
Japanese public-record enforcement check
Saveable record of the published action, regulator source, source status, and review notes for internal compliance files.
- Report ID
- RB-EN-ENFORCEMENT-KINSHOHO-PUROGURE-202607271758
- Generated at
- 28 July 2026 at 02:58
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-puroguresumaindo-20200612
1. Review Summary
| Disclosure name | 株式会社プログレスマインド | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 12 June 2020 | Authority | Securities and Exchange Surveillance Commission |
| Law | Financial Instruments and Exchange Act | Action type | Recommendation |
| Source status | Preserved public-source archive recorded | ||
This report summarizes public Japanese government disclosure data held by RegBase. It is not a credit score, sanctions conclusion, legal opinion, or adverse-media determination. Confirm important decisions against the linked official Japanese source.
2. Published Information
| Published name | 株式会社プログレスマインド |
|---|
3. Enforcement Record
| Target name in disclosure | 株式会社プログレスマインド |
|---|---|
| Authority | Securities and Exchange Surveillance Commission (証券取引等監視委員会) |
| Law / action type | Financial Instruments and Exchange Act / Recommendation |
| Action / announcement date | Action: 12 June 2020 / Announcement: 12 March 2026 |
| English summary | Since February 2015, the company has had three individuals without registration for financial instruments business conduct investment advisory and agency activities under the company's name. This constitutes conducting financial instruments business in the name of another person, which is a violation of Article 36-3 of the Financial Instruments and Exchange Act. Additionally, in relation to the investment advisory course 'First Class Academy,' the company prepared and delivered pre-contract documents stating that President A was an advisor and analyst when signing investment advisory contracts, but in practice, did not perform advisory activities and instead had others conduct investment advisory work. Furthermore, the company has arranged for Staredge Corporation, introduced by former Chairman B, to act as an agent for investment advisory contracts. These actions violate Article 51 of the Financial Instruments and Exchange Act and indicate an inappropriate personnel structure. |
| Original Japanese text | 当社は、平成27年２月以降、金融商品取引業の登録がない者３名に対し、当社の名義をもって投資助言・代理業を行わせた。自己の名義をもって、他人に金融商品取引業を行わせたものであり、金融商品取引法第36条の３に違反するものと認められる。また、投資助言コースである「ファーストクラスアカデミー」に係る投資顧問契約の締結に際し、A代表取締役社長が助言・分析者である旨を記載した契約締結前交付書面等を作成・交付しながら、実際には助言等の行為を行わず、他者に投資助言業務を行わせている。さらに、B元会長から紹介を受けた株式会社Staredgeをして投資顧問契約の代理を行わせている。これらの行為は、金融商品取引法第51条に違反し、人的構成が不適切な状況にある。 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2020/2020/20200612-1.html |
| Source archive | https://kiroku.today/a/fecf954899hdjswa |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 08:25 / Evidence checked: 25 April 2026 at 08:25 / Archive captured: 12 July 2026 at 14:50 |
4. Business Location and Permit Details
No additional structured business-location or permit fields are recorded for this disclosure.
5. Other Confirmed Records for This Company
This report covers the single government disclosure shown on this page.
Reviewer Notes
| Reviewer | Team / company | ||
|---|---|---|---|
| Review purpose | |||
| Additional notes | |||
- □ Official source URL or archived source was checked.
- □ Corporate Number, address, or other identifiers were reviewed to avoid confusing similarly named entities.
- □ This document is understood as a public-record evidence file, not a credit decision or legal opinion.
Current page: Enforcement record
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Preserved evidence by Kiroku
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Action summary
- Company
- 株式会社プログレスマインドJapanese onlyOriginal: 株式会社プログレスマインド
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- 12 June 2020
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
- Industry context
- 金融商品取引業
Violation
Since February 2015, the company has had three individuals without registration for financial instruments business conduct investment advisory and agency activities under the company's name. This constitutes conducting financial instruments business in the name of another person, which is a violation of Article 36-3 of the Financial Instruments and Exchange Act. Additionally, in relation to the investment advisory course 'First Class Academy,' the company prepared and delivered pre-contract documents stating that President A was an advisor and analyst when signing investment advisory contracts, but in practice, did not perform advisory activities and instead had others conduct investment advisory work. Furthermore, the company has arranged for Staredge Corporation, introduced by former Chairman B, to act as an agent for investment advisory contracts. These actions violate Article 51 of the Financial Instruments and Exchange Act and indicate an inappropriate personnel structure.
Show original Japanese text
当社は、平成27年２月以降、金融商品取引業の登録がない者３名に対し、当社の名義をもって投資助言・代理業を行わせた。自己の名義をもって、他人に金融商品取引業を行わせたものであり、金融商品取引法第36条の３に違反するものと認められる。また、投資助言コースである「ファーストクラスアカデミー」に係る投資顧問契約の締結に際し、A代表取締役社長が助言・分析者である旨を記載した契約締結前交付書面等を作成・交付しながら、実際には助言等の行為を行わず、他者に投資助言業務を行わせている。さらに、B元会長から紹介を受けた株式会社Staredgeをして投資顧問契約の代理を行わせている。これらの行為は、金融商品取引法第51条に違反し、人的構成が不適切な状況にある。
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.
Evidence pack
- Extracted at
- 2026-04-24T23:25:19.125+00:00
- Evidence checked
- 2026-04-24T23:25:19.125+00:00
- Archive captured
- 2026-07-12T05:50:54.078304+00:00
Show audit JSON
{
"record": {
"id": "4543e307-9444-4b15-831c-663beba949b2",
"url": "https://regbase.jp/en/enforcement/kinshoho-puroguresumaindo-20200612",
"company_name_original": "株式会社プログレスマインド",
"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 (株式会社プログレスマインド). 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-puroguresumaindo-20200612",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2020/2020/20200612-1.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/fecf954899hdjswa",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2020/2020/20200612-1.html",
"archiveCapturedAt": "2026-07-12T05:50:54.078304+00:00",
"extractedAt": "2026-04-24T23:25:19.125+00:00",
"translatedAt": "2026-05-01T06:43:04.214+00:00",
"evidenceCheckedAt": "2026-04-24T23:25:19.125+00:00",
"generatedAt": "2026-07-27T17:58:43.918Z"
},
"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.