www.fsa.go.jp/sesc/news/c_2025/2025/20251118-1.html
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第一プレミア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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About this page
This page reports a recommendation issued by the Securities and Exchange Surveillance Commission based on inspection results of Daiichi Premier Securities Co., Ltd. The company received an business improvement order in 2016 following violations related to qualified institutional investor exception business. However, after a shareholder change in December 2023, management failed to implement previously reported improvement measures and inappropriately engaged with individuals subject to registration rejection requirements, prompting the issuance of this recommendation.
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