Recommendation against 株式会社ＳＢＩ証券

株式会社ＳＢＩ証券 (Financial Instruments and Exchange Act)

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

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Action summary

Company: 株式会社ＳＢＩ証券Japanese original
Original: 株式会社ＳＢＩ証券
Corporate Number: 3010401049814
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 December 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

The act of accepting purchase orders related to listed financial products while knowing that such actions could artificially influence the market prices of those products, causing the prices to not reflect actual market conditions. Specifically, between December 2020 and September 2021, the company solicited customers to purchase at the public offering price with a limit order before the listing day, and received and executed purchase orders for 2,256,600 shares.

Show original Japanese text

取引所金融商品市場における上場金融商品の相場を変動等させることにより実勢を反映しない作為的なものとなることを知りながら、当該上場金融商品に係る買付けの受託等をする行為。具体的には、令和2年12月から令和3年9月までの間に、上場日当日の寄付前までに公募価格と同価格の指値で買付けを行うことを勧誘し、顧客から225万6600株の買付注文を受託・執行した。

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: 2026-04-24T23:25:57.807+00:00
Evidence checked: 2026-04-24T23:25:57.807+00:00
Archive captured: 2026-04-05T12:31:03.356+00:00

Show audit JSON

{
  "record": {
    "id": "45ba54e3-ea60-4b9c-ac42-80e88721ed6f",
    "url": "https://regbase.jp/en/enforcement/kinshoho-sbizheng-quan-20231215",
    "company_name_original": "株式会社ＳＢＩ証券",
    "company_name_registry": "株式会社ＳＢＩ証券",
    "corporate_number": "3010401049814",
    "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-sbizheng-quan-20231215",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2023/2023/20231215-2.html",
    "archiveUrl": "https://kiroku.today/view/8e21423b80lqpppt",
    "archiveCapturedAt": "2026-04-05T12:31:03.356+00:00",
    "extractedAt": "2026-04-24T23:25:57.807+00:00",
    "translatedAt": "2026-05-01T06:43:25.902+00:00",
    "evidenceCheckedAt": "2026-04-24T23:25:57.807+00:00",
    "generatedAt": "2026-06-19T08:20:59.041Z"
  },
  "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ＳＢＩ証券 Japanese original
Japanese name: 株式会社ＳＢＩ証券
Corporate Number: 3010401049814
Registered address: 東京都港区六本木１丁目６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.