www.fsa.go.jp/sesc/news/c_2023/2023/20230915-1.html
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三木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_2023/2023/20230915-1.html
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This page announces that the Securities and Exchange Surveillance Commission has recommended administrative action against Miki Securities Co., Ltd. based on inspection results. The company engaged in unsuitable solicitation of foreign stock trading to at least 18 elderly customers lacking adequate comprehension ability, without proper risk explanations. Management-led focus on US stock sales, combined with a compensation system overemphasizing commission income and excessive pressure from management prioritizing revenue achievement, created a corporate culture that disregarded customer suitability. Additionally, the company significantly reduced compliance staff despite previous regulatory guidance, and procedures for elderly customer guidelines became merely formal.
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