株式会社Ｇ＆Ｄアドヴァイザーズに対する検査結果に基づく勧告について
https://www.fsa.go.jp/sesc/news/c_2025/2025/20250411-1.html株式会社Ｇ＆Ｄアドヴァ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 that the Securities and Exchange Surveillance Commission recommended administrative action against G&D Advisors Co., Ltd. on April 11, 2025, based on inspection results. The company engaged in conflicted-interest transactions by purchasing stocks before giving investment advice and selling them afterward, generating approximately 2.28 million yen in profits. Additionally, the company made false statements to solicit investment advisory contracts using fabricated information sources. Inadequate internal management systems and insufficient oversight of employees resulted in violations of fiduciary duties and the Financial Instruments and Exchange Act.
