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
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, 02:50 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
- 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.
Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive
- 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": "2026-09-21T00:12:24.420Z"
},
"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)Recent records in the same industry
About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.