Enforcement record
Issuance of Warning Letter disclosure naming 東洋信託株式会社 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 June 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-DONG-YAN-202607270852
- Generated at
- 27 July 2026 at 17:52
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-dong-yang-xin-tuo-dai-biao-a-20140601
1. Review Summary
| Disclosure name | 東洋信託株式会社 代表 A | 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 June 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 | 東洋信託株式会社 代表 A |
|---|
3. Enforcement Record
| Target name in disclosure | 東洋信託株式会社 代表 A |
|---|---|
| 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 June 2014 / Announcement: 1 June 2014 |
| English summary | The company sent solicitation materials and conducted the募集 or private placement of investment trusts, and indicated that it provides investment advisory and agency services in its company profile. Information has been received that another company sent materials titled [Personal Trust Rights Offering Guidelines] for the company, and subsequently, the company received solicitation from another firm to purchase the investment trusts. Although the solicitation materials mention [Securities Company], the company is not registered as a financial instruments business operator. |
| Original Japanese text | 勧誘資料等を送付したうえで、投資信託の募集又は私募を行っていたほか、会社概要に投資助言・代理業を行う旨表示していたもの。 他の会社から当該業者の「個人向け信託権利募集要項」と題する資料等が送られ、その後、他の会社から当該投資信託を買い取る旨の勧誘を受けたとの情報が寄せられている。 勧誘資料に「証券会社」との記載があるが、金融商品取引業の登録はない。 |
| 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
Save the disclosure record naming 東洋信託株式会社 代表 A
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 東洋信託株式会社 代表 A
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
- 東洋信託株式会社 代表 AJapanese onlyOriginal: 東洋信託株式会社 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 June 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
The company sent solicitation materials and conducted the募集 or private placement of investment trusts, and indicated that it provides investment advisory and agency services in its company profile. Information has been received that another company sent materials titled [Personal Trust Rights Offering Guidelines] for the company, and subsequently, the company received solicitation from another firm to purchase the investment trusts. Although the solicitation materials mention [Securities Company], the company is not registered as a financial instruments business operator.
Show original Japanese text
勧誘資料等を送付したうえで、投資信託の募集又は私募を行っていたほか、会社概要に投資助言・代理業を行う旨表示していたもの。 他の会社から当該業者の「個人向け信託権利募集要項」と題する資料等が送られ、その後、他の会社から当該投資信託を買い取る旨の勧誘を受けたとの情報が寄せられている。 勧誘資料に「証券会社」との記載があるが、金融商品取引業の登録はない。
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
- 2026-07-27T06:06:48.789+00:00
- Archive captured
- 2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
"record": {
"id": "e6a7a777-9982-45a3-af53-bce83e12ccb1",
"url": "https://regbase.jp/en/enforcement/kinshoho-dong-yang-xin-tuo-dai-biao-a-20140601",
"company_name_original": "東洋信託株式会社 代表 A",
"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-dong-yang-xin-tuo-dai-biao-a-20140601",
"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": "2026-07-06T04:21:00.32+00:00",
"evidenceCheckedAt": "2026-07-27T06:06:48.789+00:00",
"generatedAt": "2026-07-27T08:52:07.482Z"
},
"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.