Possible 警告書発出 against Aziazong Yan K.K. Dai Biao Qu Di Yi A

アジア総研株式会社 代表取締役 A (Financial Instruments and Exchange Act)
Financial Instruments and Exchange Act金融庁・財務局Possible entity match1 June 2014

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/api/v1/enforcements?company=%E3%82%A2%E3%82%B8%E3%82%A2%E7%B7%8F%E7%A0%94%E6%A0%AA%E5%BC%8F%E4%BC%9A%E7%A4%BE%20%E4%BB%A3%E8%A1%A8%E5%8F%96%E7%B7%A0%E5%BD%B9%20A&limit=10

Action summary

Company
Original: アジア総研株式会社 代表取締役 A
Entity match
Possible entity match60/100Machine extracted
Company name extracted from the Japanese public disclosure
Governing law
Financial Instruments and Exchange Act
金融商品取引法
Action type
警告書発出
警告書発出
Action date
1 June 2014
Issuing authority
金融庁・財務局
金融庁・財務局

Violation

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 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 金融庁・財務局 announcement (Japanese)
Extracted at
2026-05-14T21:13:26.086+00:00
Evidence checked
Not recorded
Archive captured
Not archived
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": "アジア総研株式会社 代表取締役 A",
    "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": "警告書発出"
    },
    "authority": {
      "ja": "金融庁・財務局",
      "en": "金融庁・財務局"
    }
  },
  "entity_match": {
    "status": "possible",
    "confidence": 60,
    "method": "extracted_japanese_name",
    "method_label": "Company name extracted from the Japanese public disclosure",
    "notes": null
  },
  "review": {
    "status": "unreviewed",
    "label": "Machine extracted"
  },
  "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",
    "archiveUrl": null,
    "archiveCapturedAt": null,
    "extractedAt": "2026-05-14T21:13:26.086+00:00",
    "translatedAt": null,
    "evidenceCheckedAt": null,
    "generatedAt": "2026-05-15T13:48:21.227Z"
  },
  "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.

Company info

English name
Aziazong Yan K.K. Dai Biao Qu Di Yi A Romanized
Japanese name
アジア総研株式会社 代表取締役 A
See company profile →

About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.