Enforcement record

Recommendation disclosure naming ちばぎん証券株式会社

ちばぎん証券株式会社 (Financial Instruments and Exchange Act)

This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionGovernment disclosure9 June 2024

Action type

Recommendation

Law

Financial Instruments and Exchange Act

Authority

Securities and Exchange Surveillance Commission

Action date

9 June 2024

Current page: Enforcement record

This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.

Source verification

Public-source and preservation status

Publishing authority: Securities and Exchange Surveillance Commission
Official source URL: Recorded by RegBase
Entity match: Not confirmed; shown under the published name
Kiroku preservation: Completed archive verified; Captured: Jul 12, 2026, 02:51 PM JST

“Confirmed” means that RegBase matched this record to the cited public disclosure or entity under the stated checks. It does not verify the truth of the disclosure or guarantee the entity’s current status, creditworthiness, or any legal conclusion.

Open the official source links in the section below to review the original disclosure.

Action summary

Company: ちばぎん証券株式会社Japanese only
Original: 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

Machine-translated summary — verify against original

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

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.

Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive

Original Securities and Exchange Surveillance Commission source (Japanese)Open preserved source and 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": "2026-10-10T18:38:22.759Z"
  },
  "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.