Enforcement record

Issuance of Warning Letter disclosure naming 株式会社エリオストレーディング

株式会社エリオストレーディング (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 June 2014

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: Completed archive verified; Captured: May 16, 2026, 03:30 AM JST

“Confirmed” means that RegBase matched this record to the cited public disclosure or entity under the stated checks. It does not verify the truth of the disclosure or guarantee the entity’s current status, creditworthiness, or any legal conclusion.

Open the official source links in the section below to review the original disclosure.

Action summary

Company: 株式会社エリオストレーディングJapanese only
Original: 株式会社エリオストレーディング
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

Machine-translated summary — verify against original

An entity sent solicitation materials and mediated stock transactions. The name of the representative is unknown. They received a phone call from the entity about mediating stock transactions, placed an order, paid the settlement amount, and then received a document titled 'Calculation Sheet' detailing the stock transaction.

Show original Japanese text

勧誘資料等を送付したうえで、株式の売買の媒介等を行っていたもの。代表者等の氏名は「不明」。当該業者から株式売買の媒介等の電話勧誘があり、注文して約定代金を支払った後、株式売買内容が記載された「計算書」と題する資料の送付を受けたとの情報が寄せられている。

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.

Review the original Japanese source and determine relevance to your counterparty-risk workflow.

This context is an operational aid for review workflows, not a credit opinion or legal conclusion.

Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive

Original Financial Services Agency and Local Finance Bureaus source (Japanese)Open preserved source and evidence pack

Extracted at: 2026-05-14T21:13:26.086+00:00
Evidence checked: 2026-09-19T11:20:32.053+00:00
Archive captured: 2026-05-15T18:30:47.935052+00:00

Show audit JSON

{
  "record": {
    "id": "a357ba2d-3298-41f2-9112-a3caf5d08a9b",
    "url": "https://regbase.jp/en/enforcement/kinshoho-eriosutoredeingu-20140601",
    "company_name_original": "株式会社エリオストレーディング",
    "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": "警告書発出",
      "en": "Issuance of Warning Letter"
    },
    "authority": {
      "ja": "金融庁・財務局",
      "en": "Financial Services Agency and Local Finance Bureaus"
    }
  },
  "entity_match": {
    "status": "unresolved",
    "confidence": 60,
    "method": "source_name_only_no_registry_match",
    "method_label": "source_name_only_no_registry_match",
    "notes": "公表資料の名称は収録しましたが、法人番号へ安全に結び付ける独立証拠が不足しています。"
  },
  "review": {
    "status": "needs_review",
    "label": "Needs review"
  },
  "compliance_context": {
    "severity": "Context needed",
    "actionMeaning": "This is a public Japanese regulatory disclosure. The exact legal effect depends on the cited source and regulator.",
    "practicalNote": "Review the original Japanese source and determine relevance to your counterparty-risk workflow.",
    "lawContext": "Financial markets law covering securities, investment services, disclosure, and market conduct."
  },
  "evidence": {
    "recordUrl": "https://regbase.jp/en/enforcement/kinshoho-eriosutoredeingu-20140601",
    "officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
    "officialDocumentUrl": null,
    "archiveUrl": "https://kiroku.today/a/9fa660712e7967kc",
    "archivedSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
    "archiveCapturedAt": "2026-05-15T18:30:47.935052+00:00",
    "extractedAt": "2026-05-14T21:13:26.086+00:00",
    "translatedAt": "2026-07-06T04:21:04.456+00:00",
    "evidenceCheckedAt": "2026-09-19T11:20:32.053+00:00",
    "generatedAt": "2026-09-19T13:35:45.096Z"
  },
  "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.