Enforcement record
Recommendation disclosure naming やまびこ投資顧問株式会社
This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.
Action type
Recommendation
Law
Financial Instruments and Exchange Act
Authority
Securities and Exchange Surveillance Commission
Action date
13 March 2026
RegBase evidence report
Japanese public-record enforcement check
Saveable record of the published action, regulator source, source status, and review notes for internal compliance files.
- Report ID
- RB-EN-ENFORCEMENT-KINSHOHO-YAMABIKO-202608041427
- Generated at
- 4 August 2026 at 23:27
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-yamabikotou-zi-gu-wen-20260313
1. Review Summary
| Disclosure name | やまびこ投資顧問株式会社 | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 13 March 2026 | Authority | Securities and Exchange Surveillance Commission |
| Law | Financial Instruments and Exchange Act | Action type | Recommendation |
| Source status | Preserved public-source archive recorded | ||
This report summarizes public Japanese government disclosure data held by RegBase. It is not a credit score, sanctions conclusion, legal opinion, or adverse-media determination. Confirm important decisions against the linked official Japanese source.
2. Published Information
| Published name | やまびこ投資顧問株式会社 |
|---|
3. Enforcement Record
| Target name in disclosure | やまびこ投資顧問株式会社 |
|---|---|
| Authority | Securities and Exchange Surveillance Commission (証券取引等監視委員会) |
| Law / action type | Financial Instruments and Exchange Act / Recommendation |
| Action / announcement date | Action: 13 March 2026 / Announcement: 16 March 2026 |
| English summary | 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. |
| 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。 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2026/2026/20260313-1.html |
| Source archive | https://kiroku.today/a/7b7ee13c9dhc3xpe |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 08:31 / Evidence checked: 25 April 2026 at 08:31 / Archive captured: 12 July 2026 at 14:10 |
4. Business Location and Permit Details
No additional structured business-location or permit fields are recorded for this disclosure.
5. Other Confirmed Records for This Company
This report covers the single government disclosure shown on this page.
Reviewer Notes
| Reviewer | Team / company | ||
|---|---|---|---|
| Review purpose | |||
| Additional notes | |||
- □ Official source URL or archived source was checked.
- □ Corporate Number, address, or other identifiers were reviewed to avoid confusing similarly named entities.
- □ This document is understood as a public-record evidence file, not a credit decision or legal opinion.
Current page: Enforcement record
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Preserved evidence by Kiroku
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Action summary
- Company
- やまびこ投資顧問株式会社Japanese onlyOriginal: やまびこ投資顧問株式会社
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- 13 March 2026
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
- Industry context
- 投資顧問業
Violation
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
MediumA 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
- Extracted at
- 2026-04-24T23:31:08.16+00:00
- Evidence checked
- 2026-04-24T23:31:08.16+00:00
- Archive captured
- 2026-07-12T05:10:06.501216+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": 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 (やまびこ投資顧問株式会社). 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-yamabikotou-zi-gu-wen-20260313",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260313-1.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/7b7ee13c9dhc3xpe",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2026/2026/20260313-1.html",
"archiveCapturedAt": "2026-07-12T05:10:06.501216+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": "2026-08-04T14:27:51.021Z"
},
"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.