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
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-BRIGHTFR-202608141101
- Generated at
- 14 August 2026 at 20:01
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-brightfriendslimited-20190801
1. Review Summary
| Disclosure name | Bright Friends Limited. | 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 August 2019 | 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 | Bright Friends Limited. |
|---|
3. Enforcement Record
| Target name in disclosure | Bright Friends Limited. |
|---|---|
| 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 August 2019 / Announcement: 1 August 2019 |
| English summary | 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. |
| 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。 |
| 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: 14 August 2026 at 01:47 / 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 Bright Friends Limited.
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 Bright Friends Limited.
Open the preserved public source with its capture time, original artifact, available verification data, and downloadable 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.
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。
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.
Evidence pack
- Extracted at
- 2026-05-14T21:13:26.084+00:00
- Evidence checked
- 2026-08-13T16:47:19.053+00:00
- Archive captured
- 2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
"record": {
"id": "98b42c81-7a15-479d-93ae-56d9b9827712",
"url": "https://regbase.jp/en/enforcement/kinshoho-brightfriendslimited-20190801",
"company_name_original": "Bright Friends Limited.",
"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-brightfriendslimited-20190801",
"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": "2026-05-14T21:13:26.084+00:00",
"translatedAt": "2026-07-06T04:17:03.206+00:00",
"evidenceCheckedAt": "2026-08-13T16:47:19.053+00:00",
"generatedAt": "2026-08-14T11:01:57.559Z"
},
"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.