Possible Surcharge Payment Order against 株式会社ファルテック
For developers: integration details
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/api/v1/enforcements?company=%E6%A0%AA%E5%BC%8F%E4%BC%9A%E7%A4%BE%E3%83%95%E3%82%A1%E3%83%AB%E3%83%86%E3%83%83%E3%82%AF&limit=10Action summary
- Company
- 株式会社ファルテックJapanese originalOriginal: 株式会社ファルテック
- Entity match
- Possible entity match60/100Machine extractedCompany name extracted from the Japanese public disclosure
- 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
- 29 September 2023
- Penalty
- ¥940K (¥940,000)
- Issuing authority
- Financial Services Agency金融庁
Violation
Based on the results of an inspection related to market manipulation, a recommendation was made to pay the surcharge, leading to a decision to initiate a trial procedure. The respondent submitted a statement acknowledging the facts listed in Article 178, Paragraph 1, Item 14 of the Financial Instruments and Exchange Act and the amount of surcharge to be paid. A draft order to pay the surcharge was then submitted.
Show original Japanese text
相場操縦に係る検査結果に基づく課徴金納付命令の勧告を受け、審判手続開始の決定を行ったところ、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14号に掲げる事実及び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-highA 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.
Evidence pack
- Extracted at
- 2026-04-24T23:29:36.892+00:00
- Evidence checked
- 2026-04-24T23:29:36.892+00:00
- Archive captured
- 2026-04-04T18:31:03.121+00:00
Show audit JSON
{
"record": {
"id": "7e757b8b-69f6-4102-8f58-ac7761407108",
"url": "https://regbase.jp/en/enforcement/kinshoho-huarutetuku-20230929",
"company_name_original": "株式会社ファルテック",
"company_name_registry": "株式会社ファルテック",
"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": "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": "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-huarutetuku-20230929",
"officialSourceUrl": "https://www.fsa.go.jp/news/r5/shouken/20231023.html",
"archiveUrl": "https://kiroku.today/view/95221e86b0ko4tjp",
"archiveCapturedAt": "2026-04-04T18:31:03.121+00:00",
"extractedAt": "2026-04-24T23:29:36.892+00:00",
"translatedAt": "2026-05-01T06:47:00.882+00:00",
"evidenceCheckedAt": "2026-04-24T23:29:36.892+00:00",
"generatedAt": "2026-05-20T22:14:35.559Z"
},
"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.