Recommendation against やまびこ投資顧問株式会社

やまびこ投資顧問株式会社 (Financial Instruments and Exchange Act)

Financial Instruments and Exchange ActSecurities and Exchange Surveillance CommissionConfirmed entity match13 March 2026

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Action summary

Company: やまびこ投資顧問株式会社Japanese original
Original: やまびこ投資顧問株式会社
Corporate Number: 9010001166954
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: 13 March 2026
Issuing authority: Securities and Exchange Surveillance Commission
証券取引等監視委員会

Violation

Machine-translated summary — verify against original

Yamabiko Investment Advisory Co., Ltd. advertised in the stock-related information magazine 'All Stock Price Chance' published mainly by Sangyo to Keizai Co., Ltd., and conducted telephone solicitations to those who sent reply postcards, leading to the conclusion of investment advisory contracts and providing domestic stock investment advice to clients. Furthermore, the company engaged in investment advisory activities without registration, operated under the control of Mr. Yamada together with Sangyo to Keizai, involved officers and employees in unregistered investment advisory activities, conducted business with persons who failed to meet registration requirements and submitted false reports after doing so, had officers and employees lacking necessary knowledge and experience, and tolerated violations of laws.

Show original Japanese text

やまびこ投資顧問株式会社は、主に株式会社産業と経済が発刊する株式関連情報誌「オール株価チャンス」に広告を掲載し、返信用はがきを送ってきた者に対して電話勧誘を行い、投資顧問契約の締結に至った顧客に国内株式の投資助言を行っていた。さらに、無登録で投資助言業務を行い、産業と経済社とともに山田氏の支配のもと一体として経営されている状況や、無登録の投資助言業務に役職員が加担している状況、登録拒否要件に該当する者に業務を行わせた上で虚偽の届出を行ったこと、役員や使用人が必要な知識・経験を有していない状況、法令違反行為を放置していたことなどが認められた。

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.

Evidence pack

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

Extracted at: 2026-04-24T23:31:08.16+00:00
Evidence checked: 2026-04-24T23:31:08.16+00:00
Archive captured: 2026-04-03T06:39:33.586+00:00

Show audit JSON

{
  "record": {
    "id": "b679000c-6c02-4b06-8de4-dde5f4c9ef5f",
    "url": "https://regbase.jp/en/enforcement/kinshoho-yamabikotou-zi-gu-wen-20260313",
    "company_name_original": "やまびこ投資顧問株式会社",
    "company_name_registry": "やまびこ投資顧問株式会社",
    "corporate_number": "9010001166954",
    "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-yamabikotou-zi-gu-wen-20260313",
    "officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260313-1.html",
    "archiveUrl": "https://kiroku.today/view/7b7ee13c9dij9zf0",
    "archiveCapturedAt": "2026-04-03T06:39:33.586+00:00",
    "extractedAt": "2026-04-24T23:31:08.16+00:00",
    "translatedAt": "2026-05-01T06:48:12.269+00:00",
    "evidenceCheckedAt": "2026-04-24T23:31:08.16+00:00",
    "generatedAt": "2026-06-17T16:19:07.648Z"
  },
  "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: やまびこ投資顧問株式会社 Japanese original
Japanese name: やまびこ投資顧問株式会社
Corporate Number: 9010001166954
Registered address: 東京都中央区新川２丁目３番４号新川田所ビル５階

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.