Possible Recommendation against 株式会社ユニオン証券アドバイザーズ
For developers: integration details
You do not need this for normal browsing. Use it when integrating this enforcement record into an internal tool or AI workflow.
/api/v1/enforcements?company=%E6%A0%AA%E5%BC%8F%E4%BC%9A%E7%A4%BE%E3%83%A6%E3%83%8B%E3%82%AA%E3%83%B3%E8%A8%BC%E5%88%B8%E3%82%A2%E3%83%89%E3%83%90%E3%82%A4%E3%82%B6%E3%83%BC%E3%82%BA&limit=10Action summary
- Company
- 株式会社ユニオン証券アドバイザーズJapanese originalOriginal: 株式会社ユニオン証券アドバイザーズ
- Entity match
- Possible entity match60/100Machine extractedCompany name extracted from the Japanese public disclosure
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Recommendation勧告
- Action date
- 26 May 2023
- Issuing authority
- Securities and Exchange Surveillance Commission証券取引等監視委員会
Violation
The company was engaged in soliciting or handling investments in a collective investment scheme without registration, including the solicitation of investment interests or private placements. Specifically, from December 2021 to August 2022, former President Kenjiro Sugiyama led efforts to solicit at least 56 clients to acquire investment interests in a certain civil law voluntary partnership. The total amount invested was 1.227 billion yen. The investment interests are classified as collective investment scheme interests under Article 2, Paragraph 2, Item 5 of the Financial Instruments and Exchange Act, and the company was found to have engaged in solicitation or private placement of these interests. Funds from clients were transferred via the company's bank account to the operational partnership members. These activities constitute a Type 2 Financial Instruments Business under Article 28, Paragraph 2 of the Act, and accepting deposits of money constitutes a Type 1 Financial Instruments Business under Paragraph 1 of the same article. Because these operations were conducted without registration, they constitute violations of the law.
Show original Japanese text
無登録で集団投資スキーム持分の募集又は私募の取扱い等を行っている状況。特定の民法上の任意組合について、令和３年12月から同４年８月までの間、杉山剛前代表取締役が中心となって、少なくとも56名の顧客に対し、出資持分の取得勧誘を行った。出資された金額は12億2700万円。出資持分は金融商品取引法第２条第２項第５号に定める集団投資スキーム持分に該当し、募集又は私募の取扱いを行ったと認められる。顧客から出資される金銭について、当社の銀行口座を経由して本件業務執行組合員に送金している。これらの行為は、金商法第28条第２項に規定する「第二種金融商品取引業」に該当し、また、金銭の預託を受ける行為は同条第１項に規定する「第一種金融商品取引業」に該当し、登録を受けずにこれらの業務を行ったため、法令違反となった。
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
- 2026-04-24T23:26:23.622+00:00
- Evidence checked
- 2026-04-24T23:26:23.622+00:00
- Archive captured
- 2026-04-05T12:30:58.048+00:00
Show audit JSON
{
"record": {
"id": "44d76aa1-07e3-4bd9-bb64-3888a13c8f12",
"url": "https://regbase.jp/en/enforcement/kinshoho-yunionzheng-quan-adobaizazu-20230526",
"company_name_original": "株式会社ユニオン証券アドバイザーズ",
"company_name_registry": "株式会社ユニオン証券アドバイザーズ",
"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": "possible",
"confidence": 60,
"method": "extracted_japanese_name",
"method_label": "Company name extracted from the Japanese public disclosure",
"notes": null
},
"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-yunionzheng-quan-adobaizazu-20230526",
"officialSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2023/2023/20230526-1.html",
"archiveUrl": "https://kiroku.today/view/6e6543f26clqplmj",
"archiveCapturedAt": "2026-04-05T12:30:58.048+00:00",
"extractedAt": "2026-04-24T23:26:23.622+00:00",
"translatedAt": "2026-05-01T16:18:28.529+00:00",
"evidenceCheckedAt": "2026-04-24T23:26:23.622+00:00",
"generatedAt": "2026-06-19T08:22:49.421Z"
},
"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
- 株式会社ユニオン証券アドバイザーズ Japanese original
- Japanese name
- 株式会社ユニオン証券アドバイザーズ
About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.