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
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
- Official source URL
- Recorded by RegBase
- Entity match
- Not confirmed; shown under the published name
- Kiroku preservation
- Completed archive verified
- Captured: Jul 12, 2026, 02:53 PM JST
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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。
Public documents and saved materials
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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.
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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.