Enforcement record
Recommendation disclosure naming ＳＭＢＣ日興証券株式会社
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
28 September 2022
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-SMBCRI-X-202608182254
- Generated at
- 19 August 2026 at 07:54
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-smbcri-xing-zheng-quan-20220928
1. Review Summary
| Disclosure name | ＳＭＢＣ日興証券株式会社 | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 28 September 2022 | 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 | ＳＭＢＣ日興証券株式会社 |
|---|
3. Enforcement Record
| Target name in disclosure | ＳＭＢＣ日興証券株式会社 |
|---|---|
| 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: 28 September 2022 / Announcement: 12 March 2026 |
| English summary | 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. |
| 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。 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2022/2022/20220928-1.html |
| Source archive | https://kiroku.today/a/0d77bdf323hdjtko |
| 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
Save the disclosure record naming ＳＭＢＣ日興証券株式会社
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Preserved evidence by Kiroku
Review the preserved source for ＳＭＢＣ日興証券株式会社
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For developers: JSON integration details
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Action summary
- Company
- ＳＭＢＣ日興証券株式会社Japanese onlyOriginal: ＳＭＢＣ日興証券株式会社
- 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
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
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
- 2026-04-24T23:25:44.727+00:00
- Evidence checked
- 2026-04-24T23:25:44.727+00:00
- Archive captured
- 2026-07-12T05:51:18.516904+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": 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 (ＳＭＢＣ日興証券株式会社). 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-smbcri-xing-zheng-quan-20220928",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2022/2022/20220928-1.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/0d77bdf323hdjtko",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2022/2022/20220928-1.html",
"archiveCapturedAt": "2026-07-12T05:51:18.516904+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": "2026-08-18T22:54:17.028Z"
},
"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.