Enforcement record

Issuance of Warning Letter disclosure naming 株式会社ドリームジャパン 代表取締役 A A

株式会社ドリームジャパン 代表取締役 A A (Financial Instruments and Exchange Act)

This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.

Financial Instruments and Exchange ActFinancial Services Agency and Local Finance BureausGovernment disclosure1 September 2015

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 September 2015

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
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Action summary

Company
株式会社ドリームジャパン 代表取締役 A AJapanese only
Original: 株式会社ドリームジャパン 代表取締役 A 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 September 2015
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

Machine-translated summary — verify against original

An entity engaged in stock trading and brokerage of stock trading. On July 3, 2015, the Securities and Exchange Surveillance Commission filed a petition with the court to prohibit and cease the defendant's violation of the Financial Instruments and Exchange Act by conducting stock trading and brokerage without registration.

Show original Japanese text

株式の売買及び株式売買の委託の取次ぎを行っていたもの。 （※）当該業者は、証券取引等監視委員会において、平成27年7月3日、裁判所への金融商品取引法違反行為（無登録で、株式の売買及び株式売買の委託の取次ぎを業として行うこと）の禁止及び停止を命ずるよう申立てを行った被申立人である。

Public documents and saved materials

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Compliance context

Context needed

This 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.