Enforcement record
Recommendation disclosure naming 株式会社ユニオン証券アドバイザーズ
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
26 May 2023
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-YUNIONZH-202608182254
- Generated at
- 19 August 2026 at 07:54
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-yunionzheng-quan-adobaizazu-20230526
1. Review Summary
| Disclosure name | 株式会社ユニオン証券アドバイザーズ | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 26 May 2023 | 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 | 株式会社ユニオン証券アドバイザーズ |
|---|
3. Enforcement Record
| Target name in disclosure | 株式会社ユニオン証券アドバイザーズ |
|---|---|
| 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: 26 May 2023 / Announcement: 12 March 2026 |
| English summary | 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. |
| 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。 |
| Financial / consumer impact | Penalty: - / Affected amount: ¥1.2B (¥1,227,000,000) / Affected consumers: 56 |
| Official source | https://www.fsa.go.jp/sesc/news/c_2023/2023/20230526-1.html |
| Source archive | https://kiroku.today/a/6e6543f26chdjubc |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 08:26 / Evidence checked: 25 April 2026 at 08:26 / Archive captured: 12 July 2026 at 14:52 |
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
This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.
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Preserved evidence by Kiroku
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Action summary
- Company
- 株式会社ユニオン証券アドバイザーズJapanese onlyOriginal: 株式会社ユニオン証券アドバイザーズ
- 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
- Industry context
- 金融商品仲介業
- Affected consumers
- 56
- Affected amount
- ¥1.2B (¥1,227,000,000)
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
- 2026-07-12T05:52:27.041863+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": 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": 60,
"method": "extracted_japanese_name",
"method_label": "Company name extracted from the Japanese public disclosure",
"notes": "The linked company profile has not been verified under the current identity policy."
},
"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",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/6e6543f26chdjubc",
"archivedSourceUrl": "https://www.fsa.go.jp/sesc/news/c_2023/2023/20230526-1.html",
"archiveCapturedAt": "2026-07-12T05:52:27.041863+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": "2026-08-18T22:54:42.694Z"
},
"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.