{"data":[{"id":"33b31862-814b-4f40-9d31-015a16692e36","company_name":"株式会社エフ・サポート 代表取締役 A B","company_name_en":null,"corporate_number":null,"authority":"金融庁・財務局","authorities":["金融庁・財務局"],"authority_count":1,"action_types":["警告書発出"],"regional_record_count":1,"source_document_count":1,"law_name":"金融商品取引法","action_type":"警告書発出","action_date":"2016-04-01","announcement_date":"2016-04-01","violation_summary":"株式の売買及び株式売買の委託の取次ぎを行っていたもの。 （※）当該業者は、証券取引等監視委員会において、平成28年3月11日、裁判所への金融商品取引法違反行為（無登録で、株式の売買及び株式売買の委託の取次ぎを業として行うこと）の禁止及び停止を命ずるよう申立てを行った被申立人である。","violation_summary_en":"An entity engaged in stock trading and brokerage of stock trading. On March 11, 2016, the Securities and Exchange Surveillance Commission filed a petition with the court to prohibit and cease the defendant's violation of the Financial Instruments and Exchange Act by conducting stock trading and brokerage without registration.","penalty_amount":null,"is_verified":true,"record_verified":true,"entity_match":{"status":"unresolved","confidence":60,"method":"source_name_only_no_registry_match","notes":"A current-policy Corporate Number match to a verified company profile is not available."},"human_review_status":"needs_review","source_url":"https://www.fsa.go.jp/ordinary/chuui/mutouroku.html","url":"https://regbase.jp/enforcement/kinshoho-ehusapotodai-biao-qu-di-yi-ab-20160401"},{"id":"658aa67b-0b71-43d9-b59e-57624b91a898","company_name":"A B","company_name_en":null,"corporate_number":null,"authority":"金融庁・財務局","authorities":["金融庁・財務局"],"authority_count":1,"action_types":["警告書発出"],"regional_record_count":1,"source_document_count":1,"law_name":"金融商品取引法","action_type":"警告書発出","action_date":"2015-08-01","announcement_date":"2015-08-01","violation_summary":"株式会社Jコーレール（適格機関投資家等特例業務届出者)を営業者とするファンドの募集又は私募の取扱いを行っていたもの。 関東財務局による株式会社Jコーレールに対する検査の結果、判明したもの。","violation_summary_en":"Handled the solicitation or private placement of funds operated by J Co-rail Inc. (Registered as a Qualified Institutional Investor Special Business Operator). This was revealed as a result of an inspection of J Co-rail Inc. by the Kanto Local Finance Bureau.","penalty_amount":null,"is_verified":true,"record_verified":true,"entity_match":{"status":"unresolved","confidence":0,"method":"registry_attempt_deferred","notes":"A current-policy Corporate Number match to a verified company profile is not available."},"human_review_status":"needs_review","source_url":"https://www.fsa.go.jp/ordinary/chuui/mutouroku.html","url":"https://regbase.jp/enforcement/kinshoho-ab-20150801"},{"id":"0d81c4a1-2fac-4faf-88e3-2f1673d78687","company_name":"A B C グローバルエコシス株式会社 代表取締役 D","company_name_en":null,"corporate_number":null,"authority":"金融庁・財務局","authorities":["金融庁・財務局"],"authority_count":1,"action_types":["警告書発出"],"regional_record_count":1,"source_document_count":1,"law_name":"金融商品取引法","action_type":"警告書発出","action_date":"2015-03-01","announcement_date":"2015-03-01","violation_summary":"クエストキャピタルマネージメント有限会社（適格機関投資家等特例業務届出者)が財産の運用、管理等を行うファンドの募集又は私募の取扱いを行っていたもの。 証券取引等監視委員会によるクエストキャピタルマネージメント有限会社に対する検査の結果、判明したもの。","violation_summary_en":"Quest Capital Management Limited (Registered as a Qualified Institutional Investor Special Business Operator) was handling the solicitation or private placement of funds for which it manages or operates assets. This was revealed as a result of an inspection by the Securities and Exchange Surveillance Commission.","penalty_amount":null,"is_verified":true,"record_verified":true,"entity_match":{"status":"unresolved","confidence":60,"method":"source_name_only_no_registry_match","notes":"A current-policy Corporate Number match to a verified company profile is not available."},"human_review_status":"needs_review","source_url":"https://www.fsa.go.jp/ordinary/chuui/mutouroku.html","url":"https://regbase.jp/enforcement/kinshoho-abcgurobaruekosisudai-biao-qu-di-yi-d-20150301"},{"id":"e9ea6225-642e-49b3-88fb-648922928887","company_name":"株式会社グランター 代表取締役 A B","company_name_en":null,"corporate_number":null,"authority":"金融庁・財務局","authorities":["金融庁・財務局"],"authority_count":1,"action_types":["警告書発出"],"regional_record_count":1,"source_document_count":1,"law_name":"金融商品取引法","action_type":"警告書発出","action_date":"2014-08-01","announcement_date":"2014-08-01","violation_summary":"株式会社グランター代表取締役A及び当社職員Bは、当社関連会社が運用を行うとするラップ口座の開設の勧誘を行い、多数の一般投資家と当社関連会社との間で、投資一任契約を締結させたもの。また、Aらは、多数の一般投資家に対し、別の当社関連会社の社員権のほか、海外ファンドの取得勧誘を行っていたもの。 （※）当該業者は、証券取引等監視委員会において、平成26年8月6日、裁判所への金融商品取引法違反行為（無登録で、ファンドの募集又は私募の取扱いを行うこと）の禁止及び停止を命ずるよう申立てを行った被申立人である。","violation_summary_en":"The representative director of GK Grandar and employee B solicited the opening of wrap accounts operated by a related company, leading to investment discretionary contracts with numerous individual investors and the related company. They also solicited other investors for shares of another related company and overseas funds. The entity was filed against by the Financial Instruments and Exchange Commission on August 6, 2014, for violations of the Financial Instruments and Exchange Act, including unregistered solicitation of fund offerings and private placements.","penalty_amount":null,"is_verified":true,"record_verified":true,"entity_match":{"status":"unresolved","confidence":60,"method":"source_name_only_no_registry_match","notes":"A current-policy Corporate Number match to a verified company profile is not available."},"human_review_status":"needs_review","source_url":"https://www.fsa.go.jp/ordinary/chuui/mutouroku.html","url":"https://regbase.jp/enforcement/kinshoho-gurantadai-biao-qu-di-yi-ab-20140801"},{"id":"86bea0e9-7c79-4f0c-a046-c4000e0939bd","company_name":"株式会社Grant 代表取締役 A B C","company_name_en":null,"corporate_number":null,"authority":"金融庁・財務局","authorities":["金融庁・財務局"],"authority_count":1,"action_types":["警告書発出"],"regional_record_count":1,"source_document_count":1,"law_name":"金融商品取引法","action_type":"警告書発出","action_date":"2014-07-01","announcement_date":"2014-07-01","violation_summary":"株式会社Grant代表取締役A、当社関係者B及びジースリー株式会社代表取締役Cは、平成23年12月頃以降、Bが「会長」を務める当社において、自ら又は多数の金融商品取引業の登録のない代理店を利用して、多数の一般投資家に対し、海外ファンド等の取得勧誘を行っていたもの。 （※）当該業者は、証券取引等監視委員会において、平成26年7月3日、裁判所への金融商品取引法違反行為（無登録で、ファンドの募集又は私募の取扱いを行うこと）の禁止及び停止を命ずるよう申立てを行った被申立人である。","violation_summary_en":"Between December 2011 and December 2013, A, the representative director of Grant Corporation, B, an associate of the company, and C, the representative director of G3 Corporation, solicited many individual investors to acquire overseas funds, using themselves or unregistered agents without registration for financial instruments business. The agents were subject to a petition filed by the Securities and Exchange Surveillance Commission on July 3, 2014, seeking a court order to prohibit and cease violations of the Financial Instruments and Exchange Act, specifically unregistered solicitation and handling of fund offerings or private placements.","penalty_amount":null,"is_verified":true,"record_verified":true,"entity_match":{"status":"unresolved","confidence":60,"method":"source_name_only_no_registry_match","notes":"A current-policy Corporate Number match to a verified company profile is not available."},"human_review_status":"needs_review","source_url":"https://www.fsa.go.jp/ordinary/chuui/mutouroku.html","url":"https://regbase.jp/enforcement/kinshoho-grantdai-biao-qu-di-yi-abc-20140701"}],"meta":{"query":"A B","corporate_number":null,"law":null,"authority":null,"action_type":null,"count":5,"api_docs":"https://regbase.jp/api-docs","openapi_schema":"https://regbase.jp/api/openapi.json","llms":"https://regbase.jp/llms.txt","usage_note":"Use RegBase for targeted public-source screening of Japanese companies and enforcement records. Absence of returned records is not a clearance, legal opinion, sanctions result, or credit decision.","rate_limit":{"limit":10,"window_seconds":60,"remaining":9,"reset_at":"2026-08-15T04:15:54.024Z"},"daily_rate_limit":{"limit":300,"window_seconds":86400,"remaining":52,"reset_at":"2026-08-16T04:14:54.024Z"}}}