Before
This page describes the Securities and Exchange Surveillance Commission's recommendation based on inspection results of AMI Corporation. The company conducted unlicensed solicitation and private placement of foreign investment securities, engaged in lending its name to unregistered operators, and lacked adequate personnel and systems for proper investment advisory services. The representative director operated the business single-handedly, demonstrating severe deficiency in legal compliance and investor protection awareness. Multiple violations of the Financial Instruments and Exchange Act were identified, including failure to deliver contract documents and false reporting.
