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.

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

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-ASETUTOI-202607281103
Generated at: 28 July 2026 at 20:03
Record URL: https://regbase.jp/en/enforcement/kinshoho-asetutoinbesutomentoassetinvestmentdai-biao-qu-di-yi-she-chang-a-20170601

1. Review Summary

Disclosure name	アセットインベストメント（ASSET INVESTMENT）代表取締役社長 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 June 2017	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	アセットインベストメント（ASSET INVESTMENT）代表取締役社長 A

3. Enforcement Record

Target name in disclosure	アセットインベストメント（ASSET INVESTMENT）代表取締役社長 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 June 2017 / Announcement: 1 June 2017
English summary	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.
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。
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 06:26 / 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 アセットインベストメント（ASSET INVESTMENT）代表取締役社長 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 アセットインベストメント（ASSET INVESTMENT）代表取締役社長 A

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

You do not need this for normal browsing. Use it only when integrating this enforcement record into an internal tool or AI workflow.

/api/v1/enforcements?company=%E3%82%A2%E3%82%BB%E3%83%83%E3%83%88%E3%82%A4%E3%83%B3%E3%83%99%E3%82%B9%E3%83%88%E3%83%A1%E3%83%B3%E3%83%88%EF%BC%88ASSET%20INVESTMENT%EF%BC%89%20%E4%BB%A3%E8%A1%A8%E5%8F%96%E7%B7%A0%E5%BD%B9%E7%A4%BE%E9%95%B7%20A&limit=10

Open JSON Specs

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.

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: 2026-07-27T21:26:04.709+00:00
Archive captured: 2026-05-15T18:30:47.935052+00:00

Show audit JSON

{
  "record": {
    "id": "371f85b4-0fa1-48a2-94ef-b8b59e7f297d",
    "url": "https://regbase.jp/en/enforcement/kinshoho-asetutoinbesutomentoassetinvestmentdai-biao-qu-di-yi-she-chang-a-20170601",
    "company_name_original": "アセットインベストメント（ASSET INVESTMENT） 代表取締役社長 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-asetutoinbesutomentoassetinvestmentdai-biao-qu-di-yi-she-chang-a-20170601",
    "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": "2026-07-06T04:17:29.743+00:00",
    "evidenceCheckedAt": "2026-07-27T21:26:04.709+00:00",
    "generatedAt": "2026-07-28T11:03:09.013Z"
  },
  "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.

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