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
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
- 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。
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.