Possible Surcharge Payment Order against 大成（株）

大成（株） (Financial Instruments and Exchange Act)

Financial Instruments and Exchange ActFinancial Services AgencyPossible entity match21 December 2022

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Action summary

Company: 大成（株）Japanese original
Original: 大成（株）
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: Surcharge Payment Order
課徴金納付命令
Action date: 21 December 2022
Penalty: ¥210K (¥210,000)
Issuing authority: Financial Services Agency
金融庁

Violation

Machine-translated summary — verify against original

The Financial Services Agency, based on the results of an inspection by the Securities and Exchange Surveillance Commission regarding recommendation actions related to a public tender offer by Taisei Corporation employees, received a recommendation for a payment order of surcharge. On September 16, 2022, a decision was made to initiate a trial procedure (Reiwa 4 (Han) No. 13 Financial Instruments and Exchange Act violation trial case). The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Item 17 of the Financial Instruments and Exchange Act (hereinafter referred to as the

Show original Japanese text

金融庁は、証券取引等監視委員会から大成（株）社員による公開買付けの実施に関する事実に係る推奨行為の検査結果に基づく課徴金納付命令の勧告を受け、令和4年9月16日に審判手続開始の決定（令和4年度(判)第13号金融商品取引法違反審判事件）を行ったところ、被審人から課徴金に係る金融商品取引法（以下「金商法」といいます。）第178条第1項第17号に掲げる事実及び納付すべき課徴金の額を認める旨の答弁書の提出があり、これを受けた審判官から金商法第185条の6の規定に基づき、課徴金の納付を命ずる旨の決定案が提出されたことから、以下のとおり決定を行いました。

Compliance context

Medium-high

A formal administrative order requiring payment of a monetary surcharge.

Financial markets law covering securities, investment services, disclosure, and market conduct.

Review the amount, covered conduct, recurrence history, and remediation evidence before making a risk decision.

This context is an operational aid for review workflows, not a credit opinion or legal conclusion.

Evidence pack

Original Financial Services Agency announcement (Japanese)Archived source snapshot

Extracted at: 2026-04-24T23:29:01.465+00:00
Evidence checked: 2026-04-24T23:29:01.465+00:00
Archive captured: 2026-04-05T00:30:53.802+00:00

Show audit JSON

{
  "record": {
    "id": "0e22cbdf-fbea-4d77-9834-e90b7697ca96",
    "url": "https://regbase.jp/en/enforcement/kinshoho-da-cheng-20221221",
    "company_name_original": "大成（株）",
    "company_name_registry": "大成（株）",
    "corporate_number": null,
    "law": {
      "ja": "金融商品取引法",
      "en": "Financial Instruments and Exchange Act"
    },
    "action_type": {
      "ja": "課徴金納付命令",
      "en": "Surcharge Payment Order"
    },
    "authority": {
      "ja": "金融庁",
      "en": "Financial Services Agency"
    }
  },
  "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": "Medium-high",
    "actionMeaning": "A formal administrative order requiring payment of a monetary surcharge.",
    "practicalNote": "Review the amount, covered conduct, recurrence history, and remediation evidence before making a risk decision.",
    "lawContext": "Financial markets law covering securities, investment services, disclosure, and market conduct."
  },
  "evidence": {
    "recordUrl": "https://regbase.jp/en/enforcement/kinshoho-da-cheng-20221221",
    "officialSourceUrl": "https://www.fsa.go.jp/news/r4/shouken/20221021-4.html",
    "archiveUrl": "https://kiroku.today/view/bb01c6cb5al0zl11",
    "archiveCapturedAt": "2026-04-05T00:30:53.802+00:00",
    "extractedAt": "2026-04-24T23:29:01.465+00:00",
    "translatedAt": "2026-05-01T06:46:13.064+00:00",
    "evidenceCheckedAt": "2026-04-24T23:29:01.465+00:00",
    "generatedAt": "2026-06-19T08:15:38.469Z"
  },
  "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)

Company info

English name: 大成（株） Japanese original
Japanese name: 大成（株）

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.