Enforcement record

Issuance of Warning Letter disclosure naming ABF Fund Management Company Limited

ABF Fund Management Company Limited (Financial Instruments and Exchange Act)

This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.

Financial Instruments and Exchange ActFinancial Services Agency and Local Finance BureausGovernment disclosure1 April 2016

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 April 2016

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-ABFFUNDM-202607280252
Generated at: 28 July 2026 at 11:52
Record URL: https://regbase.jp/en/enforcement/kinshoho-abffundmanagementcompanylimited-20160401

1. Review Summary

Disclosure name	ABF Fund Management Company Limited	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 April 2016	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	ABF Fund Management Company Limited

3. Enforcement Record

Target name in disclosure	ABF Fund Management Company Limited
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 April 2016 / Announcement: 1 April 2016
English summary	The entity solicited by sending promotional materials to conclude a contract entrusting investment decisions and fund management related to securities. The name of the representative is unknown. There is information that after receiving the promotional materials, the entity was asked to submit a document titled 'Portfolio Management Agreement' to entrust investment decisions to the company.
Original Japanese text	勧誘資料等を送付したうえで、有価証券の売買等の投資判断を一任され、金銭等の運用をする旨の契約の締結を勧誘していたもの。代表者等の氏名は「不明」。勧誘資料等の送付を受け、当該業者に投資判断を一任する旨の「ポートフォリオマネジメント合意書」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。
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: 28 July 2026 at 06:27 / 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 ABF Fund Management Company Limited

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 ABF Fund Management Company Limited

Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.

Open preserved source and evidence pack

For developers: JSON integration details

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/api/v1/enforcements?company=ABF%20Fund%20Management%20Company%20Limited&limit=10

Open JSON Specs

Action summary

Company: ABF Fund Management Company LimitedJapanese only
Original: ABF Fund Management Company Limited
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 April 2016
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（海外）

Violation

Machine-translated summary — verify against original

The entity solicited by sending promotional materials to conclude a contract entrusting investment decisions and fund management related to securities. The name of the representative is unknown. There is information that after receiving the promotional materials, the entity was asked to submit a document titled 'Portfolio Management Agreement' to entrust investment decisions to the company.

Show original Japanese text

勧誘資料等を送付したうえで、有価証券の売買等の投資判断を一任され、金銭等の運用をする旨の契約の締結を勧誘していたもの。代表者等の氏名は「不明」。勧誘資料等の送付を受け、当該業者に投資判断を一任する旨の「ポートフォリオマネジメント合意書」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。

Compliance context

Context needed

This 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

Original Financial Services Agency and Local Finance Bureaus source (Japanese)Open preserved source and evidence pack

Extracted at: 2026-05-14T21:13:26.085+00:00
Evidence checked: 2026-07-27T21:27:35.289+00:00
Archive captured: 2026-05-15T18:30:47.935052+00:00

Show audit JSON

{
  "record": {
    "id": "562bd3bc-766b-4693-95d6-20fcf975c8be",
    "url": "https://regbase.jp/en/enforcement/kinshoho-abffundmanagementcompanylimited-20160401",
    "company_name_original": "ABF Fund Management Company Limited",
    "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-abffundmanagementcompanylimited-20160401",
    "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": "2026-05-14T21:13:26.085+00:00",
    "translatedAt": "2026-07-06T04:17:19.74+00:00",
    "evidenceCheckedAt": "2026-07-27T21:27:35.289+00:00",
    "generatedAt": "2026-07-28T02:52:14.693Z"
  },
  "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.