Enforcement record
Surcharge Payment Order disclosure naming エボリューション・トレーディング・エルティディ
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
13 February 2024
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-EBORIYUS-202608200654
- Generated at
- 20 August 2026 at 15:54
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-eboriyusiyontoredeingueruteidei-20240213
1. Review Summary
| Disclosure name | エボリューション・トレーディング・エルティディ | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 13 February 2024 | Authority | Financial Services Agency |
| Law | Financial Instruments and Exchange Act | Action type | Surcharge Payment Order |
| 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 | エボリューション・トレーディング・エルティディ |
|---|
3. Enforcement Record
| Target name in disclosure | エボリューション・トレーディング・エルティディ |
|---|---|
| Authority | Financial Services Agency (金融庁) |
| Law / action type | Financial Instruments and Exchange Act / Surcharge Payment Order |
| Action / announcement date | Action: 13 February 2024 / Announcement: 13 March 2026 |
| English summary | The Financial Services Agency decided to order Yamaha Corporation to pay a surcharge related to market manipulation of its stock. The decision followed a recommendation from the Securities and Exchange Surveillance Commission based on inspection results. On November 11, 2021, a hearing process was initiated (Case No. 5 of 2021, violation of the Financial Instruments and Exchange Act). The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Item 14 of the Financial Instruments and Exchange Act and the amount of surcharge to be paid. Based on this, a draft decision to order payment of the surcharge was submitted by the adjudicator pursuant to Article 185-6 of the Act. The decision was made as described below. For details, see the summary of the decision (PDF: 217KB). |
| Original Japanese text | ヤマハ（株）株式に係る相場操縦に対する課徴金納付命令の決定について 金融庁は、証券取引等監視委員会からヤマハ（株）株式に係る相場操縦の検査結果に基づく課徴金納付命令の勧告を受け、令和3年11月11日に審判手続開始の決定（令和3年度(判)第5号金融商品取引法違反審判事件）を行ったところ、被審人から課徴金に係る金融商品取引法（以下「金商法」といいます。）第178条第1項第14号に掲げる事実及び納付すべき課徴金の額を認める旨の答弁書の提出があり、これを受けた審判官から金商法第185条の6の規定に基づき、課徴金の納付を命ずる旨の決定案が提出されたことから、以下のとおり決定を行いました（詳細は、決定要旨（PDF：217KB)を参照してください。）。 |
| Financial / consumer impact | Penalty: ¥2.8M (¥2,760,000) / Affected amount: - / Affected consumers: Not recorded |
| Official source | https://www.fsa.go.jp/news/r4/shouken/20221212-1.html |
| Source archive | https://kiroku.today/a/1a9b8fe267hdxvd1 |
| Extraction / evidence timestamps | Extracted: 25 April 2026 at 08:29 / Evidence checked: 25 April 2026 at 08:29 / Archive captured: 12 July 2026 at 15:03 |
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
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Preserved evidence by Kiroku
Review the preserved source for エボリューション・トレーディング・エルティディ
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For developers: JSON integration details
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Action summary
- Company
- エボリューション・トレーディング・エルティディJapanese onlyOriginal: エボリューション・トレーディング・エルティディ
- 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
- 13 February 2024
- Penalty
- ¥2.8M (¥2,760,000)
- Issuing authority
- Financial Services Agency金融庁
Violation
The Financial Services Agency decided to order Yamaha Corporation to pay a surcharge related to market manipulation of its stock. The decision followed a recommendation from the Securities and Exchange Surveillance Commission based on inspection results. On November 11, 2021, a hearing process was initiated (Case No. 5 of 2021, violation of the Financial Instruments and Exchange Act). The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Item 14 of the Financial Instruments and Exchange Act and the amount of surcharge to be paid. Based on this, a draft decision to order payment of the surcharge was submitted by the adjudicator pursuant to Article 185-6 of the Act. The decision was made as described below. For details, see the summary of the decision (PDF: 217KB).
Show original Japanese text
ヤマハ（株）株式に係る相場操縦に対する課徴金納付命令の決定について 金融庁は、証券取引等監視委員会からヤマハ（株）株式に係る相場操縦の検査結果に基づく課徴金納付命令の勧告を受け、令和3年11月11日に審判手続開始の決定（令和3年度(判)第5号金融商品取引法違反審判事件）を行ったところ、被審人から課徴金に係る金融商品取引法（以下「金商法」といいます。）第178条第1項第14号に掲げる事実及び納付すべき課徴金の額を認める旨の答弁書の提出があり、これを受けた審判官から金商法第185条の6の規定に基づき、課徴金の納付を命ずる旨の決定案が提出されたことから、以下のとおり決定を行いました（詳細は、決定要旨（PDF：217KB)を参照してください。）。
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.
This context is an operational aid for review workflows, not a credit opinion or legal conclusion.
Evidence pack
- Extracted at
- 2026-04-24T23:29:04.39+00:00
- Evidence checked
- 2026-04-24T23:29:04.39+00:00
- Archive captured
- 2026-07-12T06:03:09.49396+00:00
Show audit JSON
{
"record": {
"id": "82821d20-f90e-4c57-b158-bf165a2f4132",
"url": "https://regbase.jp/en/enforcement/kinshoho-eboriyusiyontoredeingueruteidei-20240213",
"company_name_original": "エボリューション・トレーディング・エルティディ",
"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": "課徴金納付命令",
"en": "Surcharge Payment Order"
},
"authority": {
"ja": "金融庁",
"en": "Financial Services Agency"
}
},
"entity_match": {
"status": "unresolved",
"confidence": 60,
"method": "extracted_japanese_name",
"method_label": "Company name extracted from the Japanese public disclosure",
"notes": "The linked company profile has not been verified under the current identity policy."
},
"review": {
"status": "unreviewed",
"label": "Machine extracted"
},
"compliance_context": {
"severity": "Medium-high",
"actionMeaning": "A formal administrative order requiring payment of a monetary surcharge.",
"practicalNote": "Review the amount, covered conduct, recurrence history, and remediation evidence before making a risk decision.",
"lawContext": "Financial markets law covering securities, investment services, disclosure, and market conduct."
},
"evidence": {
"recordUrl": "https://regbase.jp/en/enforcement/kinshoho-eboriyusiyontoredeingueruteidei-20240213",
"officialSourceUrl": "https://www.fsa.go.jp/news/r4/shouken/20221212-1.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/1a9b8fe267hdxvd1",
"archivedSourceUrl": "https://www.fsa.go.jp/news/r4/shouken/20221212-1.html",
"archiveCapturedAt": "2026-07-12T06:03:09.49396+00:00",
"extractedAt": "2026-04-24T23:29:04.39+00:00",
"translatedAt": "2026-05-01T16:18:55.249+00:00",
"evidenceCheckedAt": "2026-04-24T23:29:04.39+00:00",
"generatedAt": "2026-08-20T06:54:07.093Z"
},
"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.