Enforcement record
Issuance of Warning Letter disclosure naming 不明（Schonfeld Strategic Advisors Japan Pte.Ltd.の商号等を詐称）
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 May 2026
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
- 不明（Schonfeld Strategic Advisors Japan Pte.Ltd.の商号等を詐称）Japanese onlyOriginal: 不明（Schonfeld Strategic Advisors Japan Pte.Ltd.の商号等を詐称）
- 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 May 2026
- 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
The company displayed on social media that it conducts financial instruments business and claimed to handle securities offerings. It also displayed the abbreviation 'SSAJ' on social media and apps, and showed a license indicating it is a registered financial instruments business operator, with a registration number (Kanto Financial Bureau Director (Kinsho) No. 3253), the company name SCHONFELD STRATEGIC ADVISORS JAPAN Corporation, and the business type as financial instruments business. The company falsely claimed to be a registered financial instruments business operator by using a registration number and company name that were not genuine.
Show original Japanese text
SNS上で金融商品取引業を行う旨を表示したもの 当該業者は、SNS上で「有価証券の募集の取扱いを行う」旨の表示をしていた。 また、当該業者は、SNS及びアプリ上で「SSAJ」と表示し、SNS上で「登録番号 関東財務局長（金商）第3253号」、「会社の名称 SCHONFELD STRATEGIC ADVISORS JAPAN株式会社 」、「事業の種別 金融商品取引業」などと記載した「金融商品取引業者許可書」などと記載した「金融商品取引業者許可書」を表示し、登録を受けた金融商品取引業者の商号や財務局の登録番号を詐称していた。
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
- 2026-05-15T15:25:41.573+00:00
- Evidence checked
- 2026-09-27T20:33:04.557+00:00
- Archive captured
- 2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
"record": {
"id": "d1e10bbe-9c36-4876-b16e-56708f893bb4",
"url": "https://regbase.jp/en/enforcement/kinshoho-bu-ming-schonfeldstrategicadvisorsjapanpteltdnoshang-hao-deng-wozha-cheng-20260501",
"company_name_original": "不明（Schonfeld Strategic Advisors Japan Pte.Ltd.の商号等を詐称）",
"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-bu-ming-schonfeldstrategicadvisorsjapanpteltdnoshang-hao-deng-wozha-cheng-20260501",
"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": "2026-05-15T15:25:41.573+00:00",
"translatedAt": "2026-07-06T04:21:40.867+00:00",
"evidenceCheckedAt": "2026-09-27T20:33:04.557+00:00",
"generatedAt": "2026-09-28T14:44:41.181Z"
},
"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.