Enforcement record

Issuance of Warning Letter disclosure naming アセットインベストメント（ASSET INVESTMENT） 代表取締役社長 A

アセットインベストメント（ASSET INVESTMENT） 代表取締役社長 A (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.

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Financial Instruments and Exchange ActFinancial Services Agency and Local Finance BureausGovernment disclosure1 June 2017

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 June 2017

Current page: Enforcement record

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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
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Captured: May 16, 2026, 03:30 AM JST

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Action summary

Company
アセットインベストメント（ASSET INVESTMENT） 代表取締役社長 AJapanese only
Original: アセットインベストメント（ASSET INVESTMENT） 代表取締役社長 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 June 2017
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

Machine-translated summary — verify against original

The entity sent solicitation materials and engaged in the solicitation or private placement of investment trusts. They sent materials titled [Investment Trust Explanation Document (Delivery Prospectus)], [Trust Management Certificate], and [Dividend Confirmation Certificate], and falsely claimed to be a registered financial instruments business operator, impersonating [Capital Asset Management Co., Ltd.] with registration number [Kanto Finance Bureau Director (Kinsho) No. 383]. Additionally, there are reports that the entity solicited operations through FX trading.

Show original Japanese text

勧誘資料等を送付したうえで、投資信託の募集又は私募を行っていたもの。 当該業者は、「投資信託説明書（交付目論見書）」、「委託運用証明書」、「配当確定証明書」と題する資料を送付しており、当該投資信託説明書には、「金融商品取引業者」と記載し、登録を受けた金融商品取引業者である「キャピタルアセットマネジメント株式会社」の登録番号である「関東財務局長（金商）第383号」等を騙っていた。 このほか、当該業者からFXによる運用を勧誘されたとの情報も寄せられている。

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.

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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.