Enforcement record
Issuance of Warning Letter disclosure naming 株式会社a.b.c.market 代表取締役 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 October 2013
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-ABCMARKE-202608142126
- Generated at
- 15 August 2026 at 06:26
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-abcmarketdai-biao-qu-di-yi-a-20131001
1. Review Summary
| Disclosure name | 株式会社a.b.c.market 代表取締役 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 October 2013 | 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 | 株式会社a.b.c.market 代表取締役 A |
|---|
3. Enforcement Record
| Target name in disclosure | 株式会社a.b.c.market 代表取締役 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 October 2013 / Announcement: 1 October 2013 |
| English summary | Engaged in mediating contracts for Capital Works Investment Limited, which was warned by the authorities on April 5, 2013, for conducting financial instruments business without registration, using solicitation materials to facilitate agreements where customers entrusted investment decisions on over-the-counter derivatives trading. |
| Original Japanese text | 勧誘資料等を用いて、顧客から店頭デリバティブ取引等の投資判断を一任される契約の締結の媒介を行うとしていたもの。 当該業者は、平成25年4月5日付で無登録で金融商品取引業を行う者として当局より警告書を発出しているCapital Works Investment Limitedに対する契約締結の媒介を行うとしていた。 |
| 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: 15 August 2026 at 03:25 / 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 株式会社a.b.c.market 代表取締役 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 株式会社a.b.c.market 代表取締役 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
- 株式会社a.b.c.market 代表取締役 AJapanese onlyOriginal: 株式会社a.b.c.market 代表取締役 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 October 2013
- 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
Engaged in mediating contracts for Capital Works Investment Limited, which was warned by the authorities on April 5, 2013, for conducting financial instruments business without registration, using solicitation materials to facilitate agreements where customers entrusted investment decisions on over-the-counter derivatives trading.
Show original Japanese text
勧誘資料等を用いて、顧客から店頭デリバティブ取引等の投資判断を一任される契約の締結の媒介を行うとしていたもの。 当該業者は、平成25年4月5日付で無登録で金融商品取引業を行う者として当局より警告書を発出しているCapital Works Investment Limitedに対する契約締結の媒介を行うとしていた。
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
- 2026-05-14T21:13:26.087+00:00
- Evidence checked
- 2026-08-14T18:25:59.167+00:00
- Archive captured
- 2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
"record": {
"id": "e1c2ae2a-4dd5-45d7-a659-fdedd8032db4",
"url": "https://regbase.jp/en/enforcement/kinshoho-abcmarketdai-biao-qu-di-yi-a-20131001",
"company_name_original": "株式会社a.b.c.market 代表取締役 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": 60,
"method": "source_name_only_no_registry_match",
"method_label": "source_name_only_no_registry_match",
"notes": "公表資料の名称は収録しましたが、法人番号へ安全に結び付ける独立証拠が不足しています。"
},
"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-abcmarketdai-biao-qu-di-yi-a-20131001",
"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": "2026-05-14T21:13:26.087+00:00",
"translatedAt": "2026-07-06T04:19:15.678+00:00",
"evidenceCheckedAt": "2026-08-14T18:25:59.167+00:00",
"generatedAt": "2026-08-14T21:26:32.340Z"
},
"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.