Recommendation against ＳＭＢＣ日興証券株式会社

ＳＭＢＣ日興証券株式会社 (Financial Instruments and Exchange Act)

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionConfirmed entity match28 September 2022

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Action summary

Company: ＳＭＢＣ日興証券株式会社Japanese original
Original: ＳＭＢＣ日興証券株式会社
Corporate Number: 7010001125714
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: 28 September 2022
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 Securities and Exchange Surveillance Commission conducted an inspection of SMBC Nikko Securities Inc. (Chiyoda-ku, Tokyo, Corporate Number 7010001125714, President and CEO Yuichiro Kondo, capital 10 billion yen, 9,440 full-time employees, First and Second Type Financial Instruments Business, Investment Advisory and Agency Business, Investment Management Business). As a result, issues related to this financial instruments business operator were identified. Accordingly, today the Securities and Exchange Surveillance Commission advised the Prime Minister and the Commissioner of the Financial Services Agency to take administrative action pursuant to Article 20, Paragraph 1 of the Financial Instruments and Exchange Act.

Show original Japanese text

証券取引等監視委員会がＳＭＢＣ日興証券株式会社（東京都千代田区、法人番号7010001125714、代表取締役社長（ＣＥＯ）　近藤雄一郎、資本金100 億円、常勤役職員9,440名、第一種金融商品取引業、第二種金融商品取引業、投資助言・代理業、投資運用業）を検査した結果、下記のとおり、当該金融商品取引業者に係る問題が認められたので、本日、証券取引等監視委員会は、内閣総理大臣及び金融庁長官に対して、金融庁設置法第20条第１項の規定に基づき、行政処分を行うよう勧告した。

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: 2026-04-24T23:25:44.727+00:00
Evidence checked: 2026-04-24T23:25:44.727+00:00
Archive captured: 2026-04-05T12:31:05.963+00:00

Show audit JSON

{
  "record": {
    "id": "45a235ce-aefa-4b8b-9167-662c7a3a12b9",
    "url": "https://regbase.jp/en/enforcement/kinshoho-smbcri-xing-zheng-quan-20220928",
    "company_name_original": "ＳＭＢＣ日興証券株式会社",
    "company_name_registry": "ＳＭＢＣ日興証券株式会社",
    "corporate_number": "7010001125714",
    "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-smbcri-xing-zheng-quan-20220928",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2022/2022/20220928-1.html",
    "archiveUrl": "https://kiroku.today/view/0d77bdf323lqprqo",
    "archiveCapturedAt": "2026-04-05T12:31:05.963+00:00",
    "extractedAt": "2026-04-24T23:25:44.727+00:00",
    "translatedAt": "2026-05-01T06:43:18.12+00:00",
    "evidenceCheckedAt": "2026-04-24T23:25:44.727+00:00",
    "generatedAt": "2026-06-19T09:41:45.609Z"
  },
  "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: ＳＭＢＣ日興証券株式会社 Japanese original
Japanese name: ＳＭＢＣ日興証券株式会社
Corporate Number: 7010001125714
Registered address: 東京都千代田区丸の内３丁目３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.