株式会社プログレスマインドに対する検査結果に基づく勧告について：証券取引等監視委員会
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株式会社プログレスマインドに対する検査結果に基づく勧告について：証券取引等監視委員会
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This page reports on recommendations issued by the Securities and Exchange Surveillance Commission regarding Progress Mind Co., Ltd. following inspections. The company illegally lent its name to unregistered individuals to conduct investment advisory services, and improperly operated by having others provide advice instead of its representative. Additionally, the company lacked adequate compliance measures and employed individuals involved in illegal name-borrowing practices, failing to maintain appropriate personnel structure required for proper business operations.
