Enforcement record

Recommendation disclosure naming 新生インベストメント・マネジメント株式会社

新生インベストメント・マネジメント株式会社 (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 disclosure21 January 2024

Action type

Recommendation

Law

Financial Instruments and Exchange Act

Authority

Securities and Exchange Surveillance Commission

Action date

21 January 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, 02:50 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: 新生インベストメント・マネジメント株式会社Japanese only
Original: 新生インベストメント・マネジメント株式会社
Governing law: Financial Instruments and Exchange Act
金融商品取引法
Action type: Recommendation
勧告
Action date: 21 January 2024
Issuing authority: Securities and Exchange Surveillance Commission
証券取引等監視委員会
Industry context: 金融商品取引業

Violation

Machine-translated summary — verify against original

The situation where the company is not conducting investment management with the care of a good manager for clients who have entered into discretionary investment contracts. Insufficient investigation was conducted regarding the purchase prices of investment target assets included in the management of discretionary investment contracts. Issues were observed in the investigation status related to product characteristics, the valuation system, the investment decision process, and inappropriate responses to beneficiaries.

Show original Japanese text

投資一任契約を締結した顧客のために善良な管理者の注意をもって投資運用業を行っていない状況。投資一任契約の運用に組み入れる投資対象資産の買付価格について十分な調査を行っていない。商品特性に応じた調査の状況や時価評価体制に係る調査の状況、投資判断の状況、受益者対応の不適切な状況などが認められた。

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: 2026-04-24T23:25:34.155+00:00
Evidence checked: 2026-04-24T23:25:34.155+00:00
Archive captured: 2026-07-12T05:50:57.221221+00:00

Show audit JSON

{
  "record": {
    "id": "d5ad09bc-72bb-4dd5-ad16-01cd35b6ae45",
    "url": "https://regbase.jp/en/enforcement/kinshoho-xin-sheng-inbesutomentomanezimento-20240121",
    "company_name_original": "新生インベストメント・マネジメント株式会社",
    "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 (新生インベストメント・マネジメント株式会社). 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-xin-sheng-inbesutomentomanezimento-20240121",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2022/2022/20220121-3.html",
    "officialDocumentUrl": null,
    "archiveUrl": "https://kiroku.today/a/581b4fdb13hdjsvg",
    "archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2022/2022/20220121-3.html",
    "archiveCapturedAt": "2026-07-12T05:50:57.221221+00:00",
    "extractedAt": "2026-04-24T23:25:34.155+00:00",
    "translatedAt": "2026-05-01T06:43:12.694+00:00",
    "evidenceCheckedAt": "2026-04-24T23:25:34.155+00:00",
    "generatedAt": "2026-10-10T18:38:50.354Z"
  },
  "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)

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About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.