www.fsa.go.jp/sesc/news/c_2022/2022/20220121-3.html
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新生インベストメント・マネジメント株式会社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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https://www.fsa.go.jp/sesc/news/c_2022/2022/20220121-3.html
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This page describes the Securities and Exchange Surveillance Commission's recommendation regarding inspection results for Shinseiinvestment Management Co., Ltd. The company failed to conduct investment operations with due care for customers who had concluded discretionary investment contracts. Despite receiving a business improvement order from a previous inspection, the company inadequately investigated products when incorporating third-party managed funds. Issues included insufficient verification of loan recoverability, misrecognition of currency hedging, failure to confirm prime broker asset segregation, and lack of verification of target company existence. Consequently, the Commission recommended administrative action.
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