www.fsa.go.jp/sesc/news/c_2023/2023/20230609-1.html

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ちばぎん証券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_2023/2023/20230609-1.html

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This page reports on the Securities and Exchange Surveillance Commission's recommendation to the Prime Minister and Financial Services Agency regarding Chiba Gin Securities. The inspection found that the company engaged in long-term, continuous solicitation of complex structured bonds without properly understanding customers' investment policies and experience levels. Of 8,424 customers holding structured bonds, 2,424 had unsuitable investment profiles, and 34 of 80 customers referred by partner banks lacked sufficient investment experience. The company failed to maintain adequate compliance systems for suitability principles and mishandled numerous customer complaints, preventing proper business improvements.