Possible Surcharge Payment Order against エボリューション・トレーディング・エルティディ

エボリューション・トレーディング・エルティディ (Financial Instruments and Exchange Act)

Financial Instruments and Exchange ActFinancial Services AgencyPossible entity match13 February 2024

For developers: integration details

You do not need this for normal browsing. Use it when integrating this enforcement record into an internal tool or AI workflow.

/api/v1/enforcements?company=%E3%82%A8%E3%83%9C%E3%83%AA%E3%83%A5%E3%83%BC%E3%82%B7%E3%83%A7%E3%83%B3%E3%83%BB%E3%83%88%E3%83%AC%E3%83%BC%E3%83%87%E3%82%A3%E3%83%B3%E3%82%B0%E3%83%BB%E3%82%A8%E3%83%AB%E3%83%86%E3%82%A3%E3%83%87%E3%82%A3&limit=10

Open API response API docs

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 original
Original: エボリューション・トレーディング・エルティディ
Entity match: Possible entity match60/100Machine extracted
Company name extracted from the Japanese public disclosure
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

Machine-translated summary — verify against original

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-high

A 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

Original Financial Services Agency announcement (Japanese)Archived source snapshot

Extracted at: 2026-04-24T23:29:04.39+00:00
Evidence checked: 2026-04-24T23:29:04.39+00:00
Archive captured: 2026-04-05T00:30:52.918+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": "エボリューション・トレーディング・エルティディ",
    "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": "possible",
    "confidence": 60,
    "method": "extracted_japanese_name",
    "method_label": "Company name extracted from the Japanese public disclosure",
    "notes": null
  },
  "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",
    "archiveUrl": "https://kiroku.today/view/1a9b8fe267l0zkco",
    "archiveCapturedAt": "2026-04-05T00:30:52.918+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": "2026-05-21T21:50:41.840Z"
  },
  "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)

Company info

English name: エボリューション・トレーディング・エルティディ Japanese original
Japanese name: エボリューション・トレーディング・エルティディ

See company profile →

About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.