Enforcement record
Issuance of Warning Letter disclosure naming GCAアセットマネジメントグループ
This page records the name used in a government disclosure. The match to a specific legal entity is unconfirmed, so no company profile, Corporate Number, address, representative, or related-company history is attributed here.
Action type
Issuance of Warning Letter
Law
Financial Instruments and Exchange Act
Authority
Financial Services Agency and Local Finance Bureaus
Action date
1 May 2026
RegBase evidence report
Japanese public-record enforcement check
Saveable record of the disclosure name, regulator source, and unconfirmed entity-match status for internal compliance review.
- Report ID
- RB-EN-ENFORCEMENT-KINSHOHO-GCAASETU-202607110557
- Generated at
- 11 July 2026 at 14:57
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-gcaasetutomanezimentogurupu-20260501
1. Review Summary
| Disclosure name | GCAアセットマネジメントグループ (source disclosure name; entity match unconfirmed) | Corporate Number | Withheld — entity match unconfirmed |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Not evaluated — entity match unconfirmed |
| Action date | 1 May 2026 | Authority | Financial Services Agency and Local Finance Bureaus |
| Law | Financial Instruments and Exchange Act | Action type | Issuance of Warning Letter |
| Source status | Original-source archive or viewer URL 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. Disclosure Name (Entity Match Unconfirmed)
| Source disclosure name | GCAアセットマネジメントグループ |
|---|---|
| Entity match | Unconfirmed — this record is not attributed to a specific legal entity. Company identifiers and profile details are intentionally omitted. |
3. Enforcement Record
| Target name in disclosure | GCAアセットマネジメントグループ |
|---|---|
| Authority | Financial Services Agency and Local Finance Bureaus (金融庁・財務局) |
| Law / action type | Financial Instruments and Exchange Act / Issuance of Warning Letter |
| Action / announcement date | Action: 1 May 2026 / Announcement: 1 May 2026 |
| English summary | The entity displayed on its website that it conducts financial instruments business, claiming registration numbers and classifications such as Kanto Financial Bureau Director (Kinsho) No. 3506, types of financial instruments business including Type 1 and Type 2 Financial Instruments Business, Investment Advisory and Agency Business, and Investment Management Business, as well as membership in associations such as the Investment Trust Association, Japan Investment Advisers Association, Japan Securities Dealers Association, and the Second-Class Financial Instruments Business Association. It falsely claimed these registration numbers and classifications. The registration number [Kanto Financial Bureau Director (Kinsho) No. 3506] is the registration number of Capstone Japan Limited, which is a registered financial instruments business. |
| Original Japanese text | ウェブサイト上に金融商品取引業を行う旨を表示したもの 当該業者は、ウェブサイト上で「関東財務局長(金商) 第3506号」、「金融商品取引業の種別 第一種金融商品取引業、第二種金融商品取引業、投資助言・代理業、投資運用業」、「加入協会 一般社団法人投資信託協会、一般社団法人日本投資顧問業協会、日本証券業協会、一般社団法人第二種金融商品取引業協会」等と表示し、財務局の登録番号等を詐称していた。 なお、「関東財務局長(金商) 第3506号」は、登録を受けた金融商品取引業者である「Capstone Japan Limited」の登録番号である。 |
| Official source | https://www.fsa.go.jp/ordinary/chuui/mutouroku.html |
| Source archive | https://kiroku.today/a/9fa660712e7967kc |
| Extraction / evidence timestamps | Extracted: 16 May 2026 at 00:25 / Evidence checked: 16 May 2026 at 00:25 / Archive captured: 16 May 2026 at 03:30 |
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
Related-company enforcement history is not shown because the match to a specific legal entity is unconfirmed.
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
This screen focuses on one disclosed action and preserves the source name exactly as published. The match to a specific legal entity is unconfirmed; no company profile or company-level history is attributed.
Free report
Save the disclosure record naming GCAアセットマネジメントグループ
Includes the source disclosure name, regulator, governing law, source links, archive status, and an explicit unconfirmed entity-match notice. Company identifiers are omitted.
Related tool Kiroku
Track website changes for GCAアセットマネジメントグループ (entity match unconfirmed)
After checking public records, use Kiroku to save and monitor official websites, terms, IR pages, pricing pages, announcements, and other URLs that may change over time.
For developers: JSON integration details
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Action summary
- Company
- GCAアセットマネジメントグループJapanese onlyOriginal: GCAアセットマネジメントグループEntity match unconfirmed — source disclosure name only.
- Entity match
- Possible entity match60/100Machine checkedCompany name extracted from the Japanese public disclosure
- 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 May 2026
- 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
The entity displayed on its website that it conducts financial instruments business, claiming registration numbers and classifications such as Kanto Financial Bureau Director (Kinsho) No. 3506, types of financial instruments business including Type 1 and Type 2 Financial Instruments Business, Investment Advisory and Agency Business, and Investment Management Business, as well as membership in associations such as the Investment Trust Association, Japan Investment Advisers Association, Japan Securities Dealers Association, and the Second-Class Financial Instruments Business Association. It falsely claimed these registration numbers and classifications. The registration number [Kanto Financial Bureau Director (Kinsho) No. 3506] is the registration number of Capstone Japan Limited, which is a registered financial instruments business.
Show original Japanese text
ウェブサイト上に金融商品取引業を行う旨を表示したもの 当該業者は、ウェブサイト上で「関東財務局長(金商) 第3506号」、「金融商品取引業の種別 第一種金融商品取引業、第二種金融商品取引業、投資助言・代理業、投資運用業」、「加入協会 一般社団法人投資信託協会、一般社団法人日本投資顧問業協会、日本証券業協会、一般社団法人第二種金融商品取引業協会」等と表示し、財務局の登録番号等を詐称していた。 なお、「関東財務局長(金商) 第3506号」は、登録を受けた金融商品取引業者である「Capstone Japan Limited」の登録番号である。
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.
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.
Evidence pack
- Extracted at
- 2026-05-15T15:25:41.574+00:00
- Evidence checked
- 2026-05-15T15:25:41.574+00:00
- Archive captured
- 2026-05-15T18:30:40.076+00:00
Show audit JSON
{
"record": {
"id": "18cc49d5-d8d4-4351-8ac2-8f072b26d465",
"url": "https://regbase.jp/en/enforcement/kinshoho-gcaasetutomanezimentogurupu-20260501",
"company_name_original": "GCAアセットマネジメントグループ",
"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": "possible",
"confidence": 60,
"method": "extracted_japanese_name",
"method_label": "Company name extracted from the Japanese public disclosure",
"notes": null
},
"review": {
"status": "machine_reviewed",
"label": "Machine checked"
},
"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-gcaasetutomanezimentogurupu-20260501",
"officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
"archiveUrl": "https://kiroku.today/view/9fa660712e7967kc",
"archiveCapturedAt": "2026-05-15T18:30:40.076+00:00",
"extractedAt": "2026-05-15T15:25:41.574+00:00",
"translatedAt": "2026-07-06T04:21:40.868+00:00",
"evidenceCheckedAt": "2026-05-15T15:25:41.574+00:00",
"generatedAt": "2026-07-11T05:57:40.165Z"
},
"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.