Enforcement record
Surcharge Payment Order disclosure naming 株式会社ディー・エル・イー
This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.
Action type
Surcharge Payment Order
Law
Financial Instruments and Exchange Act
Authority
Financial Services Agency
Action date
9 April 2021
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-DEIERUI--202607262115
- Generated at
- 27 July 2026 at 06:15
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-deierui-20210409
1. Review Summary
| Disclosure name | 株式会社ディー・エル・イー | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 9 April 2021 | Authority | Financial Services Agency |
| Law | Financial Instruments and Exchange Act | Action type | Surcharge Payment Order |
| 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 | 株式会社ディー・エル・イー |
|---|
3. Enforcement Record
| Target name in disclosure | 株式会社ディー・エル・イー |
|---|---|
| Authority | Financial Services Agency (金融庁) |
| Law / action type | Financial Instruments and Exchange Act / Surcharge Payment Order |
| Action / announcement date | Action: 9 April 2021 / Announcement: 12 March 2026 |
| English summary | Based on the recommendation for payment of surcharge following inspection results from the Financial Services Agency, a decision was made to commence a trial procedure. A statement acknowledging the facts listed in Article 178, Paragraph 1, Item 16 of the Financial Instruments and Exchange Act and the amount of surcharge to be paid was submitted, leading to the decision to order the payment of the surcharge. |
| Original Japanese text | 証券取引等監視委員会からの検査結果に基づく課徴金納付命令の勧告を受け、審判手続開始の決定により、金融商品取引法第178条第1項第16号に掲げる事実及び納付すべき課徴金の額を認める答弁書の提出があり、課徴金の納付を命ずる決定がなされた。 |
| Financial / consumer impact | Penalty: ¥3M (¥3,050,000) / Affected amount: - / Affected consumers: Not recorded |
| Official source | https://www.fsa.go.jp/news/r2/shouken/20210409_2.html |
| Source archive | https://kiroku.today/a/040afc6a54hdjv2x |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 08:27 / Evidence checked: 25 April 2026 at 08:27 / Archive captured: 12 July 2026 at 14:53 |
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 株式会社ディー・エル・イー
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 株式会社ディー・エル・イー
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
- 株式会社ディー・エル・イーJapanese onlyOriginal: 株式会社ディー・エル・イー
- 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
- 9 April 2021
- Penalty
- ¥3M (¥3,050,000)
- Issuing authority
- Financial Services Agency金融庁
- Industry context
- 証券取引
Violation
Based on the recommendation for payment of surcharge following inspection results from the Financial Services Agency, a decision was made to commence a trial procedure. A statement acknowledging the facts listed in Article 178, Paragraph 1, Item 16 of the Financial Instruments and Exchange Act and the amount of surcharge to be paid was submitted, leading to the decision to order the payment of the surcharge.
Show original Japanese text
証券取引等監視委員会からの検査結果に基づく課徴金納付命令の勧告を受け、審判手続開始の決定により、金融商品取引法第178条第1項第16号に掲げる事実及び納付すべき課徴金の額を認める答弁書の提出があり、課徴金の納付を命ずる決定がなされた。
Compliance context
Medium-highA 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
- Extracted at
- 2026-04-24T23:27:17.851+00:00
- Evidence checked
- 2026-04-24T23:27:17.851+00:00
- Archive captured
- 2026-07-12T05:53:10.09859+00:00
Show audit JSON
{
"record": {
"id": "0ae98736-8c8f-4268-9f9b-524d71eae382",
"url": "https://regbase.jp/en/enforcement/kinshoho-deierui-20210409",
"company_name_original": "株式会社ディー・エル・イー",
"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": "課徴金納付命令",
"en": "Surcharge Payment Order"
},
"authority": {
"ja": "金融庁",
"en": "Financial Services Agency"
}
},
"entity_match": {
"status": "unresolved",
"confidence": 60,
"method": "extracted_japanese_name",
"method_label": "Company name extracted from the Japanese public disclosure",
"notes": "The linked company profile has not been verified under the current identity policy."
},
"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-deierui-20210409",
"officialSourceUrl": "https://www.fsa.go.jp/news/r2/shouken/20210409_2.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/040afc6a54hdjv2x",
"archivedSourceUrl": "https://www.fsa.go.jp/news/r2/shouken/20210409_2.html",
"archiveCapturedAt": "2026-07-12T05:53:10.09859+00:00",
"extractedAt": "2026-04-24T23:27:17.851+00:00",
"translatedAt": "2026-05-01T06:44:36.132+00:00",
"evidenceCheckedAt": "2026-04-24T23:27:17.851+00:00",
"generatedAt": "2026-07-26T21:15:05.886Z"
},
"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.