Enforcement record
Issuance of Warning Letter disclosure naming JUMBO FIRST INVESTMENT LIMITED（ジャンボファーストインベストメントリミテッド）
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 May 2014
RegBase evidence report
Japanese public-record enforcement check
Saveable record of the published action, regulator source, source status, and review notes for internal compliance files.
- Report ID
- RB-EN-ENFORCEMENT-KINSHOHO-JUMBOFIR-202607270755
- Generated at
- 27 July 2026 at 16:55
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-jumbofirstinvestmentlimitedziyanbohuasutoinbesutomentorimitetudo-20140501
1. Review Summary
| Disclosure name | JUMBO FIRST INVESTMENT LIMITED（ジャンボファーストインベストメントリミテッド） | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 1 May 2014 | Authority | Financial Services Agency and Local Finance Bureaus |
| Law | Financial Instruments and Exchange Act | Action type | Issuance of Warning Letter |
| Source status | Preserved public-source archive recorded | ||
This report summarizes public Japanese government disclosure data held by RegBase. It is not a credit score, sanctions conclusion, legal opinion, or adverse-media determination. Confirm important decisions against the linked official Japanese source.
2. Published Information
| Published name | JUMBO FIRST INVESTMENT LIMITED（ジャンボファーストインベストメントリミテッド） |
|---|
3. Enforcement Record
| Target name in disclosure | JUMBO FIRST INVESTMENT LIMITED（ジャンボファーストインベストメントリミテッド） |
|---|---|
| Authority | Financial Services Agency and Local Finance Bureaus (金融庁・財務局) |
| Law / action type | Financial Instruments and Exchange Act / Issuance of Warning Letter |
| Action / announcement date | Action: 1 May 2014 / Announcement: 1 May 2014 |
| English summary | A company solicited customers via the internet to enter into contracts to entrust investment decisions for over-the-counter derivatives and to operate funds, with the representative's name unknown. The company's website stated that PAMM (Percent Allocation Management Module) accounts are different from customer-managed accounts, and that funds deposited into FXDD Malta Limited's accounts (in the customer's name) are managed by the company using auto-trading systems (EA) and discretionary trading on behalf of the customers. FXDD Malta Limited was warned by the Financial Services Agency on December 22, 2010, for conducting financial instruments business without registration. |
| Original Japanese text | インターネットを通じて、顧客から店頭デリバティブ取引等の投資判断を一任され、金銭等の運用をする旨の契約の締結を勧誘していたもの。 代表者等の氏名は「不明」。 当該業者のウェブサイトにおいて、「（PAMM＝（Percent Allocation Management Module）口座）は、お客様ご自身が運用する形態とは異なり、FXDD社の口座（自分名義）にご自身で入金した資金をオートトレードシステム（EA）や自由裁量取引によって皆様に代わって、お客様の資金を弊社が運用致します」と記載していた。 FXDD Malta Limited（FXDD）は、無登録で金融商品取引業を行う者として、平成22年12月22日付で金融庁が警告を行っている。 |
| Official source | https://www.fsa.go.jp/ordinary/chuui/mutouroku.html |
| Source archive | https://kiroku.today/a/9fa660712e7967kc |
| Extraction / evidence timestamps | Extracted: 15 May 2026 at 06:13 / Evidence checked: 27 July 2026 at 15:07 / Archive captured: 16 May 2026 at 03:30 |
4. Business Location and Permit Details
No additional structured business-location or permit fields are recorded for this disclosure.
5. Other Confirmed Records for This Company
This report covers the single government disclosure shown on this page.
Reviewer Notes
| Reviewer | Team / company | ||
|---|---|---|---|
| Review purpose | |||
| Additional notes | |||
- □ Official source URL or archived source was checked.
- □ Corporate Number, address, or other identifiers were reviewed to avoid confusing similarly named entities.
- □ This document is understood as a public-record evidence file, not a credit decision or legal opinion.
Current page: Enforcement record
This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.
Free report
Save the disclosure record naming JUMBO FIRST INVESTMENT LIMITED（ジャンボファーストインベストメントリミテッド）
Includes the published name, regulator, governing law, source links, archive status, and reviewer note fields for internal due-diligence files.
Preserved evidence by Kiroku
Review the preserved source for JUMBO FIRST INVESTMENT LIMITED（ジャンボファーストインベストメントリミテッド）
Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.
For developers: JSON integration details
You do not need this for normal browsing. Use it only when integrating this enforcement record into an internal tool or AI workflow.
/api/v1/enforcements?company=JUMBO%20FIRST%20INVESTMENT%20LIMITED%EF%BC%88%E3%82%B8%E3%83%A3%E3%83%B3%E3%83%9C%E3%83%95%E3%82%A1%E3%83%BC%E3%82%B9%E3%83%88%E3%82%A4%E3%83%B3%E3%83%99%E3%82%B9%E3%83%88%E3%83%A1%E3%83%B3%E3%83%88%E3%83%AA%E3%83%9F%E3%83%86%E3%83%83%E3%83%89%EF%BC%89&limit=10Action summary
- Company
- JUMBO FIRST INVESTMENT LIMITED（ジャンボファーストインベストメントリミテッド）Japanese onlyOriginal: JUMBO FIRST INVESTMENT LIMITED（ジャンボファーストインベストメントリミテッド）
- 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 May 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（海外）
Violation
A company solicited customers via the internet to enter into contracts to entrust investment decisions for over-the-counter derivatives and to operate funds, with the representative's name unknown. The company's website stated that PAMM (Percent Allocation Management Module) accounts are different from customer-managed accounts, and that funds deposited into FXDD Malta Limited's accounts (in the customer's name) are managed by the company using auto-trading systems (EA) and discretionary trading on behalf of the customers. FXDD Malta Limited was warned by the Financial Services Agency on December 22, 2010, for conducting financial instruments business without registration.
Show original Japanese text
インターネットを通じて、顧客から店頭デリバティブ取引等の投資判断を一任され、金銭等の運用をする旨の契約の締結を勧誘していたもの。 代表者等の氏名は「不明」。 当該業者のウェブサイトにおいて、「（PAMM＝（Percent Allocation Management Module）口座）は、お客様ご自身が運用する形態とは異なり、FXDD社の口座（自分名義）にご自身で入金した資金をオートトレードシステム（EA）や自由裁量取引によって皆様に代わって、お客様の資金を弊社が運用致します」と記載していた。 FXDD Malta Limited（FXDD）は、無登録で金融商品取引業を行う者として、平成22年12月22日付で金融庁が警告を行っている。
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.
Evidence pack
- Extracted at
- 2026-05-14T21:13:26.086+00:00
- Evidence checked
- 2026-07-27T06:07:26.615+00:00
- Archive captured
- 2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
"record": {
"id": "96a396a4-e546-4c2a-94ec-9d967a2fe4b1",
"url": "https://regbase.jp/en/enforcement/kinshoho-jumbofirstinvestmentlimitedziyanbohuasutoinbesutomentorimitetudo-20140501",
"company_name_original": "JUMBO FIRST INVESTMENT LIMITED（ジャンボファーストインベストメントリミテッド）",
"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-jumbofirstinvestmentlimitedziyanbohuasutoinbesutomentorimitetudo-20140501",
"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": "2026-07-06T04:21:07.871+00:00",
"evidenceCheckedAt": "2026-07-27T06:07:26.615+00:00",
"generatedAt": "2026-07-27T07:55:32.505Z"
},
"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.