Enforcement record
Issuance of Warning Letter disclosure naming A
This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.
Action type
Issuance of Warning Letter
Law
Financial Instruments and Exchange Act
Authority
Financial Services Agency and Local Finance Bureaus
Action date
1 March 2019
RegBase evidence report
Japanese public-record enforcement check
Saveable record of the published action, regulator source, source status, and review notes for internal compliance files.
- Report ID
- RB-EN-ENFORCEMENT-KINSHOHO-A-201903-202608140719
- Generated at
- 14 August 2026 at 16:19
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-a-20190301
1. Review Summary
| Disclosure name | A | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 1 March 2019 | Authority | Financial Services Agency and Local Finance Bureaus |
| Law | Financial Instruments and Exchange Act | Action type | Issuance of Warning Letter |
| Source status | Preserved public-source archive recorded | ||
This report summarizes public Japanese government disclosure data held by RegBase. It is not a credit score, sanctions conclusion, legal opinion, or adverse-media determination. Confirm important decisions against the linked official Japanese source.
2. Published Information
| Published name | A |
|---|
3. Enforcement Record
| Target name in disclosure | A |
|---|---|
| Authority | Financial Services Agency and Local Finance Bureaus (金融庁・財務局) |
| Law / action type | Financial Instruments and Exchange Act / Issuance of Warning Letter |
| Action / announcement date | Action: 1 March 2019 / Announcement: 1 March 2019 |
| English summary | The company used solicitation materials to handle the募集 or private placement of a fund called [SWAP Arbitrage Diversified Program], with SDD Asset Management Limited as the issuing responsible party. They had a partnership agreement with SDD HOLDINGS PTE.LTD. regarding customer introductions, and based on this agreement, they conducted募集 or private placement activities for the fund. For solicitation, they used a business card from [Kawashima First-Class FP Office]. The Kanto Local Finance Bureau issued warnings on March 29, 2019, to SDD HOLDINGS PTE.LTD. and SDD Asset Management Limited for conducting financial instruments business without registration. |
| Original Japanese text | 勧誘資料等を用いて、ファンドの募集又は私募の取扱いを行っていたもの 当該業者は、SDD Asset Management Limitedを発行責任者とする「SWAP Arbitrage Diversified Program」と題するファンドに関し、SDD HOLDINGS PTE.LTD.との間で顧客紹介に関するパートナーシップ・プログラム契約書を取り交わしており、当該契約に基づき当該ファンドの募集又は私募の取扱いを行っていた。 勧誘に関しては、「株式会社 川島一級FP事務所」の名刺を使用していた。 SDD HOLDINGS PTE.LTD.及びSDD Asset Management Limitedに対し、関東財務局が、平成31年3月29日付で無登録で金融商品取引業等を行う者として警告を行っている。 |
| Official source | https://www.fsa.go.jp/ordinary/chuui/mutouroku.html |
| Source archive | https://kiroku.today/a/9fa660712e7967kc |
| Extraction / evidence timestamps | Extracted: 15 May 2026 at 06:13 / Evidence checked: 14 August 2026 at 01:47 / Archive captured: 16 May 2026 at 03:30 |
4. Business Location and Permit Details
No additional structured business-location or permit fields are recorded for this disclosure.
5. Other Confirmed Records for This Company
This report covers the single government disclosure shown on this page.
Reviewer Notes
| Reviewer | Team / company | ||
|---|---|---|---|
| Review purpose | |||
| Additional notes | |||
- □ Official source URL or archived source was checked.
- □ Corporate Number, address, or other identifiers were reviewed to avoid confusing similarly named entities.
- □ This document is understood as a public-record evidence file, not a credit decision or legal opinion.
Current page: Enforcement record
This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.
Free report
Save the disclosure record naming A
Includes the published name, regulator, governing law, source links, archive status, and reviewer note fields for internal due-diligence files.
Preserved evidence by Kiroku
Review the preserved source for A
Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.
For developers: JSON integration details
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Action summary
- Company
- AJapanese onlyOriginal: A
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Issuance of Warning Letter警告書発出
- Action date
- 1 March 2019
- Issuing authority
- Financial Services Agency and Local Finance Bureaus金融庁・財務局
- Industry context
- 無登録金融商品取引業者（国内）
Violation
The company used solicitation materials to handle the募集 or private placement of a fund called [SWAP Arbitrage Diversified Program], with SDD Asset Management Limited as the issuing responsible party. They had a partnership agreement with SDD HOLDINGS PTE.LTD. regarding customer introductions, and based on this agreement, they conducted募集 or private placement activities for the fund. For solicitation, they used a business card from [Kawashima First-Class FP Office]. The Kanto Local Finance Bureau issued warnings on March 29, 2019, to SDD HOLDINGS PTE.LTD. and SDD Asset Management Limited for conducting financial instruments business without registration.
Show original Japanese text
勧誘資料等を用いて、ファンドの募集又は私募の取扱いを行っていたもの 当該業者は、SDD Asset Management Limitedを発行責任者とする「SWAP Arbitrage Diversified Program」と題するファンドに関し、SDD HOLDINGS PTE.LTD.との間で顧客紹介に関するパートナーシップ・プログラム契約書を取り交わしており、当該契約に基づき当該ファンドの募集又は私募の取扱いを行っていた。 勧誘に関しては、「株式会社 川島一級FP事務所」の名刺を使用していた。 SDD HOLDINGS PTE.LTD.及びSDD Asset Management Limitedに対し、関東財務局が、平成31年3月29日付で無登録で金融商品取引業等を行う者として警告を行っている。
Compliance context
Context neededThis is a public Japanese regulatory disclosure. The exact legal effect depends on the cited source and regulator.
Financial markets law covering securities, investment services, disclosure, and market conduct.
Review the original Japanese source and determine relevance to your counterparty-risk workflow.
This context is an operational aid for review workflows, not a credit opinion or legal conclusion.
Evidence pack
- Extracted at
- 2026-05-14T21:13:26.084+00:00
- Evidence checked
- 2026-08-13T16:47:32.259+00:00
- Archive captured
- 2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
"record": {
"id": "e9645f0a-ab5c-480f-8612-3936ccc82ae1",
"url": "https://regbase.jp/en/enforcement/kinshoho-a-20190301",
"company_name_original": "A",
"company_name_registry": null,
"corporate_number": null,
"law": {
"ja": "金融商品取引法",
"en": "Financial Instruments and Exchange Act"
},
"action_type": {
"ja": "警告書発出",
"en": "Issuance of Warning Letter"
},
"authority": {
"ja": "金融庁・財務局",
"en": "Financial Services Agency and Local Finance Bureaus"
}
},
"entity_match": {
"status": "unresolved",
"confidence": 0,
"method": "registry_attempt_deferred",
"method_label": "registry_attempt_deferred",
"notes": "法人台帳の候補集合を完全に確認できなかったため、再照合が必要です。"
},
"review": {
"status": "needs_review",
"label": "Needs review"
},
"compliance_context": {
"severity": "Context needed",
"actionMeaning": "This is a public Japanese regulatory disclosure. The exact legal effect depends on the cited source and regulator.",
"practicalNote": "Review the original Japanese source and determine relevance to your counterparty-risk workflow.",
"lawContext": "Financial markets law covering securities, investment services, disclosure, and market conduct."
},
"evidence": {
"recordUrl": "https://regbase.jp/en/enforcement/kinshoho-a-20190301",
"officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/9fa660712e7967kc",
"archivedSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
"archiveCapturedAt": "2026-05-15T18:30:47.935052+00:00",
"extractedAt": "2026-05-14T21:13:26.084+00:00",
"translatedAt": "2026-07-06T04:17:27.95+00:00",
"evidenceCheckedAt": "2026-08-13T16:47:32.259+00:00",
"generatedAt": "2026-08-14T07:19:32.553Z"
},
"limitations": [
"RegBase aggregates public Japanese government disclosures and does not provide a credit opinion.",
"English summaries are provided for reference. The original Japanese source is authoritative.",
"Possible or unresolved entity matches should be manually verified before use in a decision."
]
}The original Japanese disclosure is the authoritative record. Use possible or unresolved matches only as leads for manual review.
Language
日本語版を見る (Japanese)About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.