www.fsa.go.jp/sesc/news/c_2022/2022/20220930-1.html

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マーチャントブレインズ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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https://www.fsa.go.jp/sesc/news/c_2022/2022/20220930-1.html

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This page reports recommendations by the Securities and Exchange Surveillance Commission against Merchant Brains Investment Advisors Co., Ltd. based on inspection results. The company's representative made false statements in emails and advertisements, including claims about obtaining special information, limiting contract numbers, fabricated advisory records, and exaggerated analysis items. These violations of the Financial Instruments and Exchange Act stemmed from prioritizing sales, lack of compliance awareness, and ineffective internal checks.