Enforcement record
Issuance of Warning Letter disclosure naming 株式会社大和コンサルタント
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 2014
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-DA-HE-KO-202607271134
- Generated at
- 27 July 2026 at 20:34
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-da-he-konsarutanto-20140801
1. Review Summary
| Disclosure name | 株式会社大和コンサルタント | 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 2014 | 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 | 株式会社大和コンサルタント |
|---|
3. Enforcement Record
| Target name in disclosure | 株式会社大和コンサルタント |
|---|---|
| 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 2014 / Announcement: 1 August 2014 |
| English summary | A company sent solicitation materials and solicited the purchase of unlisted stocks. The company's representative's name is unknown. They sent a postcard titled 'We will take back unwanted claims,' and there are reports of a telephone solicitation for purchasing unlisted stocks. The company explained that解除費用 (release cost) is required for the purchase, which is false. The postcard falsely claimed a registration number similar to that of the Financial Bureau and stated that trading of non-performing loans would cease on April 30, 2014, under the Act against Unjustifiable Premiums and Misleading Representations, which is false. The solicitation materials are similar to those warned against in May and June 2014 for Mitsubishi Corporation and Urban Consulting Inc., respectively. |
| Original Japanese text | 勧誘資料等を送付したうえで、未公開株等の買取りの勧誘を行っていたもの。 代表者等の氏名は「不明」。 当該業者から「ご不要な債権、お引取りします」と題した葉書が送られ、電話において、未公開株の買取りの勧誘を受けたとの情報が寄せられている。また、「未公開株の買取りには、譲渡制限の解除費用が必要」との説明を受けているが、説明内容は事実ではない。 葉書には、財務局の登録番号に類似した「財務支局長（843）号」を騙っており、また、「特定金融商品規正法により2014年4月30日をもって不良債権の取引が停止されます。」と記載しているが、そのような事実はない。 勧誘資料は、平成26年5月20日付で警告を行った「株式会社三菱商事」及び平成26年6月16日付で警告を行った「株式会社アーバンコンサル」と類似している。 |
| 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: 27 July 2026 at 15:06 / 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
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Preserved evidence by Kiroku
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Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.
For developers: JSON integration details
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Action summary
- Company
- 株式会社大和コンサルタントJapanese onlyOriginal: 株式会社大和コンサルタント
- 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 2014
- 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
A company sent solicitation materials and solicited the purchase of unlisted stocks. The company's representative's name is unknown. They sent a postcard titled 'We will take back unwanted claims,' and there are reports of a telephone solicitation for purchasing unlisted stocks. The company explained that解除費用 (release cost) is required for the purchase, which is false. The postcard falsely claimed a registration number similar to that of the Financial Bureau and stated that trading of non-performing loans would cease on April 30, 2014, under the Act against Unjustifiable Premiums and Misleading Representations, which is false. The solicitation materials are similar to those warned against in May and June 2014 for Mitsubishi Corporation and Urban Consulting Inc., respectively.
Show original Japanese text
勧誘資料等を送付したうえで、未公開株等の買取りの勧誘を行っていたもの。 代表者等の氏名は「不明」。 当該業者から「ご不要な債権、お引取りします」と題した葉書が送られ、電話において、未公開株の買取りの勧誘を受けたとの情報が寄せられている。また、「未公開株の買取りには、譲渡制限の解除費用が必要」との説明を受けているが、説明内容は事実ではない。 葉書には、財務局の登録番号に類似した「財務支局長（843）号」を騙っており、また、「特定金融商品規正法により2014年4月30日をもって不良債権の取引が停止されます。」と記載しているが、そのような事実はない。 勧誘資料は、平成26年5月20日付で警告を行った「株式会社三菱商事」及び平成26年6月16日付で警告を行った「株式会社アーバンコンサル」と類似している。
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
- 2026-05-14T21:13:26.086+00:00
- Evidence checked
- 2026-07-27T06:06:15.437+00:00
- Archive captured
- 2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
"record": {
"id": "7cf05add-65d6-43f5-b861-b5bb9d7e2ee4",
"url": "https://regbase.jp/en/enforcement/kinshoho-da-he-konsarutanto-20140801",
"company_name_original": "株式会社大和コンサルタント",
"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-da-he-konsarutanto-20140801",
"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": "2026-05-14T21:13:26.086+00:00",
"translatedAt": "2026-07-06T04:21:05.571+00:00",
"evidenceCheckedAt": "2026-07-27T06:06:15.437+00:00",
"generatedAt": "2026-07-27T11:34:29.408Z"
},
"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.