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やまびこ投資顧問株式会社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_2026/2026/20260313-1.html

April 3, 2026 at 03:39 PM JST•The archive page, viewer, and downloads use this saved version.

April 3, 2026 at 03:39 PM JST·www.fsa.go.jp

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やまびこ投資顧問株式会社に対する検査結果に基づく勧告について

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Original URLhttps://www.fsa.go.jp/sesc/news/c_2026/2026/20260313-1.html

StartedApril 3, 2026 at 03:39 PM JST

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This page announces a recommendation by the Securities and Exchange Surveillance Commission based on inspection results of Yamabiko Investment Advisors Co., Ltd. The company was substantially controlled by Akira Yamada and operated as an integrated entity with an unregistered investment advisory business. Company employees participated in unregistered investment advisory services, providing inappropriate guidance to clients. Based on these findings, the Commission recommended administrative action.

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