Enforcement record

Surcharge Payment Order disclosure naming 関西みらいフィナンシャルグループ

関西みらいフィナンシャルグループ (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 AgencyGovernment disclosure21 December 2022

Action type

Surcharge Payment Order

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency

Action date

21 December 2022

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
Official source URL: Recorded by RegBase
Entity match: Not confirmed; shown under the published name
Kiroku preservation: Completed archive verified; Captured: Jul 12, 2026, 03:03 PM 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: 関西みらいフィナンシャルグループJapanese only
Original: 関西みらいフィナンシャルグループ
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: 21 December 2022
Penalty: ¥1.6M (¥1,630,000)
Issuing authority: Financial Services Agency
金融庁
Industry context: 金融業

Violation

Machine-translated summary — verify against original

The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Items 16 and 17 of the Financial Instruments and Exchange Act regarding the surcharge, as well as the amount of surcharge to be paid. A draft decision to order the payment of the surcharge was submitted.

Show original Japanese text

被審人から課徴金に係る金融商品取引法第178条第1項第16号及び17号に掲げる事実並びに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、課徴金の納付を命ずる決定案が提出された。

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.

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

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

Extracted at: 2026-04-24T23:28:54.56+00:00
Evidence checked: 2026-04-24T23:28:54.56+00:00
Archive captured: 2026-07-12T06:03:06.048858+00:00

Show audit JSON

{
  "record": {
    "id": "c33503f6-1cbe-4e4d-8db9-286fa62e8d1c",
    "url": "https://regbase.jp/en/enforcement/kinshoho-guan-xi-miraihuinansiyarugurupu-20221221",
    "company_name_original": "関西みらいフィナンシャルグループ",
    "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": "課徴金納付命令",
      "en": "Surcharge Payment Order"
    },
    "authority": {
      "ja": "金融庁",
      "en": "Financial Services Agency"
    }
  },
  "entity_match": {
    "status": "unresolved",
    "confidence": 60,
    "method": "linked_profile_without_source_identifier",
    "method_label": "linked_profile_without_source_identifier",
    "notes": "The linked profile has a Corporate Number, but the public disclosure does not contain that number and no unique independent NTA name/address match was found."
  },
  "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-guan-xi-miraihuinansiyarugurupu-20221221",
    "officialSourceUrl": "https://www.fsa.go.jp/news/r4/shouken/20221021-1.html",
    "officialDocumentUrl": null,
    "archiveUrl": "https://kiroku.today/a/8961b78d1ehdxvdc",
    "archivedSourceUrl": "https://www.fsa.go.jp/news/r4/shouken/20221021-1.html",
    "archiveCapturedAt": "2026-07-12T06:03:06.048858+00:00",
    "extractedAt": "2026-04-24T23:28:54.56+00:00",
    "translatedAt": "2026-05-01T06:46:08.922+00:00",
    "evidenceCheckedAt": "2026-04-24T23:28:54.56+00:00",
    "generatedAt": "2026-10-04T18:12:59.958Z"
  },
  "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.