Enforcement record
Recommendation disclosure naming 株式会社ＳＢＩ証券
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
15 December 2023
RegBase evidence report
Japanese public-record enforcement check
Saveable record of the published action, regulator source, source status, and review notes for internal compliance files.
- Report ID
- RB-EN-ENFORCEMENT-KINSHOHO-SBIZHENG-202608182253
- Generated at
- 19 August 2026 at 07:53
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-sbizheng-quan-20231215
1. Review Summary
| Disclosure name | 株式会社ＳＢＩ証券 | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 15 December 2023 | Authority | Securities and Exchange Surveillance Commission |
| Law | Financial Instruments and Exchange Act | Action type | Recommendation |
| Source status | Preserved public-source archive recorded | ||
This report summarizes public Japanese government disclosure data held by RegBase. It is not a credit score, sanctions conclusion, legal opinion, or adverse-media determination. Confirm important decisions against the linked official Japanese source.
2. Published Information
| Published name | 株式会社ＳＢＩ証券 |
|---|
3. Enforcement Record
| Target name in disclosure | 株式会社ＳＢＩ証券 |
|---|---|
| Authority | Securities and Exchange Surveillance Commission (証券取引等監視委員会) |
| Law / action type | Financial Instruments and Exchange Act / Recommendation |
| Action / announcement date | Action: 15 December 2023 / Announcement: 12 March 2026 |
| English summary | 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. |
| 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。 |
| Financial / consumer impact | Penalty: - / Affected amount: - / Affected consumers: 183 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2023/2023/20231215-2.html |
| Source archive | https://kiroku.today/a/8e21423b80hdjtkt |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 08:25 / Evidence checked: 25 April 2026 at 08:25 / Archive captured: 12 July 2026 at 14:51 |
4. Business Location and Permit Details
No additional structured business-location or permit fields are recorded for this disclosure.
5. Other Confirmed Records for This Company
This report covers the single government disclosure shown on this page.
Reviewer Notes
| Reviewer | Team / company | ||
|---|---|---|---|
| Review purpose | |||
| Additional notes | |||
- □ Official source URL or archived source was checked.
- □ Corporate Number, address, or other identifiers were reviewed to avoid confusing similarly named entities.
- □ This document is understood as a public-record evidence file, not a credit decision or legal opinion.
Current page: Enforcement record
This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.
Free report
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Preserved evidence by Kiroku
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Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.
For developers: JSON integration details
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Action summary
- Company
- 株式会社ＳＢＩ証券Japanese onlyOriginal: 株式会社ＳＢＩ証券
- 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
- Industry context
- 金融商品取引業
- Affected consumers
- 183
- Affected amount
- -
Violation
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
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.
Evidence pack
- Extracted at
- 2026-04-24T23:25:57.807+00:00
- Evidence checked
- 2026-04-24T23:25:57.807+00:00
- Archive captured
- 2026-07-12T05:51:26.071884+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": 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ＳＢＩ証券). 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-sbizheng-quan-20231215",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2023/2023/20231215-2.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/8e21423b80hdjtkt",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2023/2023/20231215-2.html",
"archiveCapturedAt": "2026-07-12T05:51:26.071884+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": "2026-08-18T22:53:45.071Z"
},
"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)About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.