www.fsa.go.jp/sesc/news/c_2024/2024/20240524-3.html

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株式会社あすなろ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_2024/2024/20240524-3.html

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This page announces a recommendation by the Securities and Exchange Surveillance Commission regarding Asunaro Co., Ltd. An investigation revealed that the company's investment advisory manager inappropriately provided specific clients with stock information before distributing recommended stocks and advised them on trading. This enabled certain clients to profit from price movements on distribution dates. The company failed to establish proper information management systems and monitoring mechanisms to prevent such misconduct. These actions breached fiduciary duties owed to general clients and created unfair advantages for specific customers, undermining market fairness and client trust.