株式会社ユニオン証券アドバイザーズに対する検査結果に基づく勧告について
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株式会社ユニオン証券アドバイザーズに対する検査結果に基づく勧告について
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This page reports on recommendations made by the Securities and Exchange Surveillance Commission regarding Union Securities Advisors Co., Ltd. The company conducted unauthorized solicitation and private placement of collective investment scheme interests from December 2021 to August 2022, collecting approximately 1.227 billion yen from 56 customers. The company handled customer deposits through its bank account without proper registration as required by the Financial Instruments and Exchange Act. The violation resulted from insufficient understanding of regulations and weak management oversight. The Commission recommended administrative action.
