Enforcement record

Issuance of Warning Letter disclosure naming 株式会社Grant 代表取締役 A B C

株式会社Grant 代表取締役 A B C (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.

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Financial Instruments and Exchange ActFinancial Services Agency and Local Finance BureausGovernment disclosure1 July 2014

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 July 2014

Current page: Enforcement record

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Financial Services Agency and Local Finance Bureaus
Official source URL
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Not confirmed; shown under the published name
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Captured: May 16, 2026, 03:30 AM JST

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Action summary

Company
株式会社Grant 代表取締役 A B CJapanese only
Original: 株式会社Grant 代表取締役 A B C
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 July 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

Between December 2011 and December 2013, A, the representative director of Grant Corporation, B, an associate of the company, and C, the representative director of G3 Corporation, solicited many individual investors to acquire overseas funds, using themselves or unregistered agents without registration for financial instruments business. The agents were subject to a petition filed by the Securities and Exchange Surveillance Commission on July 3, 2014, seeking a court order to prohibit and cease violations of the Financial Instruments and Exchange Act, specifically unregistered solicitation and handling of fund offerings or private placements.

Show original Japanese text

株式会社Grant代表取締役A、当社関係者B及びジースリー株式会社代表取締役Cは、平成23年12月頃以降、Bが「会長」を務める当社において、自ら又は多数の金融商品取引業の登録のない代理店を利用して、多数の一般投資家に対し、海外ファンド等の取得勧誘を行っていたもの。 （※）当該業者は、証券取引等監視委員会において、平成26年7月3日、裁判所への金融商品取引法違反行為（無登録で、ファンドの募集又は私募の取扱いを行うこと）の禁止及び停止を命ずるよう申立てを行った被申立人である。

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.

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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.