Possible 警告書発出 against Firstrade Securities Inc. *bei Kao Lan Notoori,mi Guo Zheng Quan Qu Yin Wei Yuan Hui Noren Ke Woshou Ketaye Zhe Noming Cheng Wopian Tuteitamono.

{
  "record": {
    "id": "798f1aef-17d1-4f61-9255-5e807bb36adb",
    "url": "https://regbase.jp/en/enforcement/kinshoho-firstradesecuritiesincbei-kao-lan-notoorimi-guo-zheng-quan-qu-yin-wei-yuan-hui-n-20131001",
    "company_name_original": "Firstrade Securities Inc. ※備考欄のとおり、米国証券取引委員会の認可を受けた業者の名称を騙っていたもの。",
    "company_name_registry": "Firstrade Securities Inc. ※備考欄のとおり、米国証券取引委員会の認可を受けた業者の名称を騙っていたもの。",
    "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": "警告書発出"
    },
    "authority": {
      "ja": "金融庁・財務局",
      "en": "金融庁・財務局"
    }
  },
  "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": "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-firstradesecuritiesincbei-kao-lan-notoorimi-guo-zheng-quan-qu-yin-wei-yuan-hui-n-20131001",
    "officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
    "archiveUrl": null,
    "archiveCapturedAt": null,
    "extractedAt": "2026-05-14T21:13:26.087+00:00",
    "translatedAt": null,
    "evidenceCheckedAt": null,
    "generatedAt": "2026-05-15T17:13:20.138Z"
  },
  "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."
  ]
}