Possible 警告書発出 against Huasutorisati Yun Ying Ze Ren Zhe A

ファーストリサーチ 運営責任者 A (Financial Instruments and Exchange Act)
Financial Instruments and Exchange Act金融庁・財務局Possible entity match1 December 2013
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/api/v1/enforcements?company=%E3%83%95%E3%82%A1%E3%83%BC%E3%82%B9%E3%83%88%E3%83%AA%E3%82%B5%E3%83%BC%E3%83%81%20%E9%81%8B%E5%96%B6%E8%B2%AC%E4%BB%BB%E8%80%85%20A&limit=10

Action summary

Company
Original: ファーストリサーチ 運営責任者 A
Entity match
Possible entity match60/100Machine extracted
Company name extracted from the Japanese public disclosure
Governing law
Financial Instruments and Exchange Act
金融商品取引法
Action type
警告書発出
警告書発出
Action date
1 December 2013
Issuing authority
金融庁・財務局
金融庁・財務局

Violation

Show original Japanese text

ウェブサイト上に金融商品取引業(投資運用業及び投資助言・代理業)を行う旨を表示していたもの。 財務局の登録番号に類似した「東日本金融局長(第601号)」を騙っていた。 当該業者は、ウェブサイト上で資産運用ファンド「FEBR4号」を紹介していた。

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.

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

Original 金融庁・財務局 announcement (Japanese)
Extracted at
2026-05-14T21:13:26.086+00:00
Evidence checked
Not recorded
Archive captured
Not archived
Show audit JSON
{
  "record": {
    "id": "cabb5815-dd10-4884-8bf6-427910b82a59",
    "url": "https://regbase.jp/en/enforcement/kinshoho-huasutorisatiyun-ying-ze-ren-zhe-a-20131201",
    "company_name_original": "ファーストリサーチ 運営責任者 A",
    "company_name_registry": "ファーストリサーチ 運営責任者 A",
    "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": "警告書発出"
    },
    "authority": {
      "ja": "金融庁・財務局",
      "en": "金融庁・財務局"
    }
  },
  "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": "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-huasutorisatiyun-ying-ze-ren-zhe-a-20131201",
    "officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
    "archiveUrl": null,
    "archiveCapturedAt": null,
    "extractedAt": "2026-05-14T21:13:26.086+00:00",
    "translatedAt": null,
    "evidenceCheckedAt": null,
    "generatedAt": "2026-05-15T17:57:45.957Z"
  },
  "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.

Company info

English name
Huasutorisati Yun Ying Ze Ren Zhe A Romanized
Japanese name
ファーストリサーチ 運営責任者 A
See company profile →

About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.