Enforcement record
Issuance of Warning Letter disclosure naming アジア総研株式会社 代表取締役 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 June 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
- Completed archive verified
- Captured: May 16, 2026, 03:30 AM JST
“Confirmed” means that RegBase matched this record to the cited public disclosure or entity under the stated checks. It does not verify the truth of the disclosure or guarantee the entity’s current status, creditworthiness, or any legal conclusion.
Open the official source links in the section below to review the original disclosure.
Action summary
- Company
- アジア総研株式会社 代表取締役 AJapanese onlyOriginal: アジア総研株式会社 代表取締役 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 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
A company sent promotional materials and solicited stock purchases. The company received a call from the business, which solicited proxy purchase applications for the shares of Ashikaga Holdings Co., Ltd., assuming the purchase. Subsequently, a document titled 'Purchase Guarantee Certificate' was sent. The company falsely claimed to be Japan Asia Securities Co., Ltd., registered with the Kanto Finance Bureau (Registration No. 134), and impersonated Japan Asia General Research Institute Co., Ltd., which is a real company. A warning was issued to the same-named company on November 9, 2012.
Show original Japanese text
勧誘資料等を送付したうえで、株式の買取りの勧誘を行っていたもの。 当該業者から電話において、株式会社足利ホールディングスの株式について、買取りを前提とした代理購入申し込みの勧誘を受け、了承したところ「買取保証書」と題する書面が送られてきたとの情報が寄せられている。 登録を受けた金融商品取引業者である「日本アジア証券株式会社」の登録番号「関東財務局長（金商）第134号」及び実在する「日本アジア総合研究所株式会社」に類似した商号を騙っていた。 当該業者と同一名の業者に対して、平成24年11月9日付で警告を行っている。
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.
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.
Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive
- Extracted at
- 2026-05-14T21:13:26.086+00:00
- Evidence checked
- 2026-09-28T18:32:34.459+00:00
- Archive captured
- 2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
"record": {
"id": "ad224913-b6ee-4244-982d-2febbc420c8d",
"url": "https://regbase.jp/en/enforcement/kinshoho-aziazong-yan-dai-biao-qu-di-yi-a-20140601",
"company_name_original": "アジア総研株式会社 代表取締役 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-aziazong-yan-dai-biao-qu-di-yi-a-20140601",
"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": "2026-05-14T21:13:26.086+00:00",
"translatedAt": "2026-07-06T04:19:55.531+00:00",
"evidenceCheckedAt": "2026-09-28T18:32:34.459+00:00",
"generatedAt": "2026-09-29T07:03:26.825Z"
},
"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.