Enforcement record
Issuance of Warning Letter disclosure naming インベックスマネジメント（INVEX MANAGEMENT） 代表者 A
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 January 2015
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
- Completed archive verified
- Captured: May 16, 2026, 03:30 AM 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
- インベックスマネジメント（INVEX MANAGEMENT） 代表者 AJapanese onlyOriginal: インベックスマネジメント（INVEX MANAGEMENT） 代表者 A
- 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 January 2015
- 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 engaged in soliciting funds (including FX) through the internet and claimed to be a Type 1 Financial Instruments Business, investment advisory, agency, and investment management business. Their website displayed a PDF titled [Financial Instruments Business Registration List] using the Financial Services Agency's logo, and falsely claimed registration numbers such as [Kanto Local Finance Bureau Director (Financial Instruments Business) No. 305]. They also published a [Policy on Solicitation for Financial Product Sales].
Show original Japanese text
インターネットを通じて、ファンド（FX等）の募集又は私募の取扱いを行っていたほか、第一種金融商品取引業、投資助言・代理業及び投資運用業を行う旨表示していたもの。 当該業者のウェブサイトにおいて、金融庁のロゴマークを使用した「金融商品取引業者登録一覧」と題するPDFファイルを掲載し、関東財務局の登録番号である「関東財務局長（金商）第305号」等を騙っていた。このほか、「金融商品の販売等に係る勧誘方針」を掲載している。
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.
Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive
- Extracted at
- 2026-05-14T21:13:26.086+00:00
- Evidence checked
- 2026-09-19T11:18:52.606+00:00
- Archive captured
- 2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
"record": {
"id": "292cbcb0-d0eb-4117-a111-e428a6f12c4d",
"url": "https://regbase.jp/en/enforcement/kinshoho-inbetukusumanezimentoinvexmanagementdai-biao-zhe-a-20150101",
"company_name_original": "インベックスマネジメント（INVEX MANAGEMENT） 代表者 A",
"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": "警告書発出",
"en": "Issuance of Warning Letter"
},
"authority": {
"ja": "金融庁・財務局",
"en": "Financial Services Agency and Local Finance Bureaus"
}
},
"entity_match": {
"status": "unresolved",
"confidence": 60,
"method": "source_name_only_no_registry_match",
"method_label": "source_name_only_no_registry_match",
"notes": "公表資料の名称は収録しましたが、法人番号へ安全に結び付ける独立証拠が不足しています。"
},
"review": {
"status": "needs_review",
"label": "Needs review"
},
"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-inbetukusumanezimentoinvexmanagementdai-biao-zhe-a-20150101",
"officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/9fa660712e7967kc",
"archivedSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
"archiveCapturedAt": "2026-05-15T18:30:47.935052+00:00",
"extractedAt": "2026-05-14T21:13:26.086+00:00",
"translatedAt": "2026-07-06T04:17:01.549+00:00",
"evidenceCheckedAt": "2026-09-19T11:18:52.606+00:00",
"generatedAt": "2026-09-19T18:22:28.091Z"
},
"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.