Enforcement record
Issuance of Warning Letter disclosure naming Dream Bank International, Inc.
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 July 2013
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
- Dream Bank International, Inc.Japanese onlyOriginal: Dream Bank International, Inc.
- 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 July 2013
- 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
Handled solicitation by sending materials for funds named [REAL India IPO Investment Premium] and [REAL India Government Bond Equity Investment Fund] operated by Real Asset Management Limited, with the names of representatives unknown.
Show original Japanese text
Real Asset Management Limited社の「REALインド新規株式公開（IPO）投資プレミアム」及び「REALインド国債株式投資ファンド」という名称のファンドの資料等を送付したうえで、募集の取扱いを行っていたもの。 代表者等の氏名は「不明」。
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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This context is an operational aid for review workflows, not a credit opinion or legal conclusion.
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.