Enforcement record
Issuance of Warning Letter disclosure naming 株式会社大和トレード 代表 A
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 November 2013
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
- 株式会社大和トレード 代表 AJapanese onlyOriginal: 株式会社大和トレード 代表 A
- 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 November 2013
- 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
Sent solicitation materials claiming to purchase unlisted stocks, impersonating a financial bureau registration number, [Financial Bureau Chief (Financial Instruments Business) No. 18], which was similar to that of Sanwa Trade Co., Ltd., that had issued a warning on October 16, 2013. The solicitation materials are similar to those of Sanwa Trade Co., Ltd., which had previously received a warning.
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を行うとしていたもの。 財務局の登録番号に類似した「財務支局長(金商)18号」を騙っていた。 勧誘資料は、平成25年10月16日付で警告書を発出した「株式会社三和トレード」と類似している。
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.