Recommendation against 株式会社プログレスマインド

株式会社プログレスマインド (Financial Instruments and Exchange Act)

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionConfirmed entity match12 June 2020

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Action summary

Company: 株式会社プログレスマインドJapanese original
Original: 株式会社プログレスマインド
Corporate Number: 5010001130088
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: 12 June 2020
Issuing authority: Securities and Exchange Surveillance Commission
証券取引等監視委員会

Violation

Machine-translated summary — verify against original

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

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: 2026-04-24T23:25:19.125+00:00
Evidence checked: 2026-04-24T23:25:19.125+00:00
Archive captured: 2026-04-05T18:30:48.245+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": "株式会社プログレスマインド",
    "corporate_number": "5010001130088",
    "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-puroguresumaindo-20200612",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2020/2020/20200612-1.html",
    "archiveUrl": "https://kiroku.today/view/fecf954899m3kcqj",
    "archiveCapturedAt": "2026-04-05T18:30:48.245+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": "2026-05-20T23:42:14.067Z"
  },
  "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: 株式会社プログレスマインド Japanese original
Japanese name: 株式会社プログレスマインド
Corporate Number: 5010001130088
Registered address: 東京都八王子市東町１番１０号

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.