Recommendation against 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)

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionConfirmed entity match9 June 2024

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/api/v1/enforcements?corporate_number=4040001034601&limit=10

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Action summary

Company: ちばぎん証券株式会社Japanese original
Original: ちばぎん証券株式会社
Corporate Number: 4040001034601
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: 9 June 2024
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 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.

Evidence pack

Original Securities and Exchange Surveillance Commission announcement (Japanese)Archived source snapshot

Extracted at: 2026-04-24T23:26:18.653+00:00
Evidence checked: 2026-04-24T23:26:18.653+00:00
Archive captured: 2026-04-05T12:30:58.974+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": "ちばぎん証券株式会社",
    "corporate_number": "4040001034601",
    "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-tibaginzheng-quan-20240609",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2023/2023/20230609-1.html",
    "archiveUrl": "https://kiroku.today/view/08eef42912lqpmbs",
    "archiveCapturedAt": "2026-04-05T12:30:58.974+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": "2026-05-20T23:42:17.057Z"
  },
  "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: ちばぎん証券株式会社 Japanese original
Japanese name: ちばぎん証券株式会社
Corporate Number: 4040001034601
Registered address: 千葉県千葉市中央区中央２丁目５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.