Enforcement record
Issuance of Warning Letter disclosure naming 株式会社ファインクリエイト
This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.
Action type
Issuance of Warning Letter
Law
Financial Instruments and Exchange Act
Authority
Financial Services Agency and Local Finance Bureaus
Action date
1 August 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
- Saved content requires review
- Captured: May 16, 2026, 03:30 AM JST
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Action summary
- Company
- 株式会社ファインクリエイトJapanese onlyOriginal: 株式会社ファインクリエイト
- 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 August 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
The entity sent solicitation materials and conducted fundraising or private placement for a fund (overseas real estate). The name of the representative is unknown. It was reported that the entity received solicitation materials titled [Fund Prospectus Cosmos Fund] and an [Investment Business Limited Partnership Contract Application Form]. The entity falsely claimed to be a registered qualified institutional investor exception business operator.
Show original Japanese text
勧誘資料等を送付したうえで、ファンド（海外不動産）の募集又は私募を行っていたもの。 代表者等の氏名は「不明」。 当該業者から、「ファンド目論見書 コスモスファンド」と題する勧誘資料及び「投資事業有限責任組合契約申込書」の送付を受けたとの情報が寄せられている。 当該業者は適格機関投資家等特例業務届出業者である旨を騙っていた。
Public documents and saved materials
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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.
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.