Enforcement record
Issuance of Warning Letter disclosure naming 安藤 潤
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 November 2026
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
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Action summary
- Company
- 安藤 潤Japanese onlyOriginal: 安藤 潤
- 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 November 2026
- 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 warning letter concerns 安藤 潤, who was engaged in: (i) handling the solicitation or private placement of interests in collective investment schemes under foreign laws; (ii) mediating the conclusion of investment advisory contracts; and (iii) handling the private placement of bonds. (*) The Securities and Exchange Surveillance Commission (証券取引等監視委員会) states that, on November 10, Reiwa 8 (令和8年11月10日), it filed an application with the court seeking an order to prohibit and stop conduct that violates the Financial Instruments and Exchange Act, namely conducting, without registration, as a business the solicitation or private placement handling of interests in collective investment schemes under foreign laws, the mediation of concluding investment advisory contracts, and the handling of private placements of bonds.
Show original Japanese text
外国の法令に基づく集団投資スキーム持分の募集又は私募の取扱い及び投資一任契約の締結の媒介並びに社債の私募の取扱いを行っていたもの （※）証券取引等監視委員会において、令和8年11月10日、裁判所への金融商品取引法違反行為（無登録で、外国の法令に基づく集団投資スキーム持分の募集又は私募の取扱い及び投資一任契約の締結の媒介並びに社債の私募の取扱いを業として行うこと）の禁止及び停止を命ずるよう申立てを行った被申立人である。
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.