Enforcement record
Issuance of Warning Letter disclosure naming Bright Friends Limited.
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 August 2019
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
- Captured: May 16, 2026, 03:30 AM JST
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Action summary
- Company
- Bright Friends Limited.Japanese onlyOriginal: Bright Friends Limited.
- 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 August 2019
- 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（海外）
Violation
D.U.corporation entered into a contract to delegate investment decisions for over-the-counter derivative transactions and managed funds. They solicited and purchased a foreign exchange automatic trading system from Royal Tree Capital Singapore Pte. Ltd., and were reportedly asked to agree to terms that included delegating final investment decisions and authority to the provider. The company was found to have violated the Financial Instruments and Exchange Act following an investigation by the Financial Services Agency, which requested a court to issue an order to prohibit and suspend the conduct. The court issued an order as requested.
Show original Japanese text
店頭デリバティブ取引の投資判断を一任される契約を締結し、金銭の運用を行っていたもの 株式会社D.U.corporationから、ROYAL TREE CAPITAL SINGAPORE PTE.LTD.の提供する為替自動売買システムの勧誘を受け、購入したところ、システムを利用するにあたって、最終的な投資判断及び投資を行うに必要な権限を当該業者に委任すること等を内容とする規約への同意を求められたとの情報が寄せられている。 株式会社D.U.corporationは、証券取引等監視委員会の調査により金融商品取引法違反行為が認められたことから、同委員会から裁判所に対し、同行為の禁止及び停止命令発出の申立てがなされ、裁判所より申立内容どおり命令が下されている。
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.