{"data":[{"id":"ef722dc0-a9e3-431a-9a36-4fafcd1818ff","company_name":"Profit Plan Limited CEO 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":"2015-12-01","announcement_date":"2015-12-01","violation_summary":"店頭デリバティブ取引の投資判断を一任される契約を締結し、金銭の運用を行っていたもの。 当該業者から、GSI Investment Incorporated（GSI INVESTMENT INCORPORATED）の口座開設の勧誘を受け、当該業者に投資判断を一任する旨の「Limited Power of Attorney Form」と題する書面の提出を求められたとの情報が寄せられている。 GSI Investment Incorporated（GSI INVESTMENT INCORPORATED）は無登録で金融商品取引業等を行っていたとして、同日付で警告を行っている。 当該業者の所在地は、平成25年4月5日付で警告を行った「Capital Works Investment Limited」と同一である。","violation_summary_en":"The entity entered into a contract to be entrusted with investment decisions for over-the-counter derivative transactions and managed funds. They received an invitation from the operator to open an account with GSI Investment Incorporated and were asked to submit a document titled [Limited Power of Attorney Form] authorizing the operator to make investment decisions. GSI Investment Incorporated was warned on the same day for conducting financial instruments business without registration. The operator's location is the same as that of [Capital Works Investment Limited], which was warned on April 5, 2013.","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-profitplanlimitedceoab-20151201"}],"meta":{"query":"Profit Plan Limited CEO A（B）","corporate_number":null,"law":null,"authority":null,"action_type":null,"count":1,"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":8,"reset_at":"2026-08-15T03:34:12.339Z"},"daily_rate_limit":{"limit":300,"window_seconds":86400,"remaining":62,"reset_at":"2026-08-16T03:33:12.339Z"}}}