Enforcement record
Issuance of Warning Letter disclosure naming 株式会社アドベントインターナショナル（又は、アドベント・インターナショナル株式会社） CEO 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 February 2014
Current page: Enforcement record
This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.
Source verification
Public-source and preservation status
- Publishing authority
- Financial Services Agency and Local Finance Bureaus
- Official source URL
- Recorded by RegBase
- Entity match
- Not confirmed; shown under the published name
- Kiroku preservation
- Saved content requires review
- Captured: May 16, 2026, 03:30 AM JST
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Action summary
- Company
- 株式会社アドベントインターナショナル（又は、アドベント・インターナショナル株式会社） CEO AJapanese onlyOriginal: 株式会社アドベントインターナショナル（又は、アドベント・インターナショナル株式会社） CEO 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 February 2014
- 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 displayed and sent a business overview claiming to conduct special operations for qualified institutional investors. It impersonated a real company, Advent International Corporation, with a similar trade name. The authority sent a request to stop the use of personal information, and subsequently, information was received that the company recovered damages via phone and was solicited for fund investments as a condition.
Show original Japanese text
会社概要に適格機関投資家等特例業務を行う旨を表示し送付したもの。 実在した「アドベント・インターナショナル株式会社」に類似した商号を騙っていた。 当該業者から、当局の「保有個人情報利用停止請求書」が送られ、その後、電話において被害回復のほか、条件としてファンドの勧誘を受けたとの情報が寄せられている。
Public documents and saved materials
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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.
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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.