Recommendation against 三木証券株式会社

三木証券株式会社 (Financial Instruments and Exchange Act)

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionConfirmed entity match15 September 2023

For developers: integration details

You do not need this for normal browsing. Use it when integrating this enforcement record into an internal tool or AI workflow.

/api/v1/enforcements?corporate_number=6010001058023&limit=10

Open API response API docs

Action summary

Company: 三木証券株式会社Japanese original
Original: 三木証券株式会社
Corporate Number: 6010001058023
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: 15 September 2023
Issuing authority: Securities and Exchange Surveillance Commission
証券取引等監視委員会

Violation

Machine-translated summary — verify against original

Situations where solicitation conflicts with the principle of suitability. The company recognized that at least 18 customers lacked the cognitive judgment ability to conduct foreign stock transactions, as evidenced by customers' responses such as incoherent conversations and not recalling conversations from a few minutes prior. Despite this, the company engaged in concluding financial instrument transactions without providing explanations about the risks of foreign stocks in a manner and extent necessary for customer understanding, based on customer attributes. Additionally, during the solicitation of investment trusts investing in emerging country technology-related companies, the company was found to have concluded financial instrument transactions with at least one customer without providing explanations about the product overview and risks in a manner and extent necessary for customer understanding, considering the customer's attributes.

Show original Japanese text

適合性原則に抵触する勧誘が行われている状況当社は、少なくとも顧客18名に対し、会話がかみ合わない、数分前の会話を覚えていないなどといった顧客の様子から、顧客が少なくとも外国株式取引を行えるほどの認知判断能力を持ち合わせていないと認識していたにもかかわらず、外国株式のリスク等について、顧客属性に照らして顧客に理解されるために必要な方法及び程度による説明を行うことなく金融商品取引契約を締結する行為を行っていた。また、当社は新興国のテクノロジー関連企業へ投資する投資信託の勧誘に際し、少なくとも顧客１名に対し、当該商品の概要やリスク等について、顧客属性に照らして顧客に理解されるために必要な方法及び程度による説明を行うことなく金融商品取引契約を締結する行為を行っている状況が認められた。

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: 2026-04-24T23:26:10.598+00:00
Evidence checked: 2026-04-24T23:26:10.598+00:00
Archive captured: 2026-04-05T12:31:01.599+00:00

Show audit JSON

{
  "record": {
    "id": "8e1539a2-8d2d-45ba-bb30-fae6c0e858fb",
    "url": "https://regbase.jp/en/enforcement/kinshoho-san-mu-zheng-quan-20230915",
    "company_name_original": "三木証券株式会社",
    "company_name_registry": "三木証券株式会社",
    "corporate_number": "6010001058023",
    "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-san-mu-zheng-quan-20230915",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2023/2023/20230915-1.html",
    "archiveUrl": "https://kiroku.today/view/e3e6ca33bclqpodr",
    "archiveCapturedAt": "2026-04-05T12:31:01.599+00:00",
    "extractedAt": "2026-04-24T23:26:10.598+00:00",
    "translatedAt": "2026-05-01T06:43:32.968+00:00",
    "evidenceCheckedAt": "2026-04-24T23:26:10.598+00:00",
    "generatedAt": "2026-06-19T08:22:55.356Z"
  },
  "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: 三木証券株式会社 Japanese original
Japanese name: 三木証券株式会社
Corporate Number: 6010001058023
Registered address: 東京都港区芝浦３丁目１番１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.