www.fsa.go.jp/sesc/news/c_2022/2022/20220617-2.html

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あい証券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_2022/2022/20220617-2.html

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This page reports on a recommendation by the Securities and Exchange Surveillance Commission based on an inspection of Ai Securities Co., Ltd. The inspection found that the company was conducting unregistered investment management operations. Specifically, the company created an anonymous partnership fund using a Cayman Islands company as a nominal operator while actually making all investment decisions and management itself. The company exploited the special business system by investing in foreign securities without consulting the nominal operator. The commission recommended administrative action be taken against Ai Securities for these violations of financial instruments trading law.