Enforcement record

Issuance of Warning Letter disclosure naming Louis Private Advisory Salon CEO A

Louis Private Advisory Salon CEO A (Financial Instruments and Exchange Act)

This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.

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Financial Instruments and Exchange ActFinancial Services Agency and Local Finance BureausGovernment disclosure1 April 2016

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 April 2016

Current page: Enforcement record

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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
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Captured: May 16, 2026, 03:30 AM JST

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Action summary

Company
Louis Private Advisory Salon CEO AJapanese only
Original: Louis Private Advisory Salon CEO 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 April 2016
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

Machine-translated summary — verify against original

The entity entered into a contract to delegate investment decisions for over-the-counter derivatives trading and managed funds. They received an invitation from the operator to open an account with [Monkey Trade Karlson (service name: Monkey Trade)] and were asked to submit a document titled [Limited Power of Attorney] authorizing the operator to make investment decisions. [Monkey Trade Karlson] was warned on December 14, 2015, for conducting financial instruments business without registration.

Show original Japanese text

店頭デリバティブ取引の投資判断を一任される契約を締結し、金銭の運用を行っていたもの。 当該業者から、「Monkey Trade Karlson（サービス名：Monkey Trade）」の口座開設の勧誘を受け、当該業者に投資判断を一任する旨の「Limited Power of Attorney」と題する書面の提出を求められたとの情報が寄せられている。 「Monkey Trade Karlson」は無登録で金融商品取引業等を行っていたとして、平成27年12月14日付で警告を行っている。

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.

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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.