Enforcement record
Recommendation disclosure naming ちばぎん証券株式会社
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
9 June 2024
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-TIBAGINZ-202608200600
- Generated at
- 20 August 2026 at 15:00
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-tibaginzheng-quan-20240609
1. Review Summary
| Disclosure name | ちばぎん証券株式会社 | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 9 June 2024 | 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 | ちばぎん証券株式会社 |
|---|
3. Enforcement Record
| Target name in disclosure | ちばぎん証券株式会社 |
|---|---|
| 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: 9 June 2024 / Announcement: 12 March 2026 |
| English summary | The firm engaged in business operations that conflicted with the suitability principle, solicited complex structured bonds over a long-term and continuous period with conduct that differed from the customer's investment policy and experience, failed to provide explanations to ensure customer understanding, and continued solicitation and sales that conflicted with the suitability principle. |
| Original Japanese text | 適合性原則に抵触する業務運営の状況、長期的・継続的に複雑な仕組債の勧誘を行い、顧客の投資方針や投資経験と異なる勧誘を行った。顧客の理解を得るための説明を行わず、適合性原則に抵触する勧誘販売を継続した。 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2023/2023/20230609-1.html |
| Source archive | https://kiroku.today/a/08eef42912hdjtkn |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 08:26 / Evidence checked: 25 April 2026 at 08:26 / 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 ちばぎん証券株式会社
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Preserved evidence by Kiroku
Review the preserved source for ちばぎん証券株式会社
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
- ちばぎん証券株式会社Japanese onlyOriginal: ちばぎん証券株式会社
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- 9 June 2024
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
- Industry context
- 証券業
Violation
The firm engaged in business operations that conflicted with the suitability principle, solicited complex structured bonds over a long-term and continuous period with conduct that differed from the customer's investment policy and experience, failed to provide explanations to ensure customer understanding, and continued solicitation and sales that conflicted with the suitability principle.
Show original Japanese text
適合性原則に抵触する業務運営の状況、長期的・継続的に複雑な仕組債の勧誘を行い、顧客の投資方針や投資経験と異なる勧誘を行った。顧客の理解を得るための説明を行わず、適合性原則に抵触する勧誘販売を継続した。
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
- 2026-04-24T23:26:18.653+00:00
- Evidence checked
- 2026-04-24T23:26:18.653+00:00
- Archive captured
- 2026-07-12T05:51:27.168232+00:00
Show audit JSON
{
"record": {
"id": "0352eff1-5418-40ce-8327-9627c229b766",
"url": "https://regbase.jp/en/enforcement/kinshoho-tibaginzheng-quan-20240609",
"company_name_original": "ちばぎん証券株式会社",
"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 (ちばぎん証券株式会社). 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-tibaginzheng-quan-20240609",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2023/2023/20230609-1.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/08eef42912hdjtkn",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2023/2023/20230609-1.html",
"archiveCapturedAt": "2026-07-12T05:51:27.168232+00:00",
"extractedAt": "2026-04-24T23:26:18.653+00:00",
"translatedAt": "2026-05-01T06:43:38.938+00:00",
"evidenceCheckedAt": "2026-04-24T23:26:18.653+00:00",
"generatedAt": "2026-08-20T06:00:48.643Z"
},
"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.