Recommendation against 株式会社武蔵野銀行
Action summary
- Company
- 株式会社武蔵野銀行Japanese onlyOriginal: 株式会社武蔵野銀行Corporate Number: 6030001002490
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- June 9, 2023
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
Violation
Without confirming or considering customer attributes, the institution is inducing customers to purchase structured bonds. Cases of inducing customers to structured bonds have been recognized. When proposing structured bonds, it is necessary to thoroughly confirm customer attributes and carefully consider appropriate proposals, rather than merely explaining product details. However, the institution emphasized advantages such as high interest rates and short terms without confirming customer attributes, which is deemed to be problematic in terms of investor protection.
Show original Japanese text
顧客属性を確認及び検討しないまま、顧客を仕組債購入へ誘引している状況。仕組債に誘引している事例が認められた。商品概要の説明のみにとどまらず、仕組債を提案するのであれば、顧客属性を十分確認し、どのような提案が適切であるか慎重に検討した上で行うべきところ、当行においては、顧客属性を確認しないまま、高金利や短期間といった優位性を強調して仕組債に誘引しており、投資者保護上問題のある行為であると認められる。
Source
Original Securities and Exchange Surveillance Commission announcement (in Japanese)The original Japanese disclosure is the authoritative record.
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Language
日本語版を見る (Japanese)Company info
- English name
- 株式会社武蔵野銀行 Japanese only
- Japanese name
- 株式会社武蔵野銀行
- Corporate Number
- 6030001002490
- Registered address
- 埼玉県さいたま市大宮区桜木町１丁目１０番地８
About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.