Recommendation against 三木証券株式会社
Action summary
- Company
- 三木証券株式会社Japanese onlyOriginal: 三木証券株式会社Corporate Number: 6010001058023
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- September 15, 2023
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
Violation
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。
Source
Original Securities and Exchange Surveillance Commission announcement (in Japanese)The original Japanese disclosure is the authoritative record.
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Language
日本語版を見る (Japanese)Company info
- English name
- 三木証券株式会社 Japanese only
- 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
About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.