Enforcement record
Issuance of Warning Letter disclosure naming マネックス証券株式会社（詐称）
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 March 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
- マネックス証券株式会社（詐称）Japanese onlyOriginal: マネックス証券株式会社（詐称）
- 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 March 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 individual engaged in soliciting and handling the offering or private placement of stocks after sending solicitation materials. They falsely claimed to be affiliated with Monex Securities Inc., a registered financial instruments business operator, by impersonating its trade name and address. After sending application forms for a lottery sale of IPO stocks titled 'IPO Stocks Limited Access!!', they received reports of calls from other companies requesting to borrow the account name, claiming that envelopes had been received. The IPO Stocks Planning and Sales Department does not actually exist within Monex Securities Inc.
Show original Japanese text
勧誘資料等を送付したうえで、株式の募集又は私募の取扱いを行っていたもの。 代表者等の氏名は「不明」。 登録を受けた金融商品取引業者である「マネックス証券株式会社（以下「登録業者」という。）」の商号、所在地を騙っていた。 当該業者（IPO株企画販売部）から「IPO株 限定入手！！」と題する株式の抽選販売の申込書等が送られた後、他の会社から「封筒が届いていると思うが、申込みしないのなら、名義を貸してほしい。」等の電話があったとの情報が寄せられている。 なお、登録業者にIPO株企画販売部は実在しない。
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
- 2026-09-19T11:18:23.024+00:00
- Archive captured
- 2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
"record": {
"id": "76446524-c7c7-4bd9-b364-7de6a28a299d",
"url": "https://regbase.jp/en/enforcement/kinshoho-manetukusuzheng-quan-zha-cheng-20150301",
"company_name_original": "マネックス証券株式会社（詐称）",
"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-manetukusuzheng-quan-zha-cheng-20150301",
"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": "2026-07-06T04:18:00.4+00:00",
"evidenceCheckedAt": "2026-09-19T11:18:23.024+00:00",
"generatedAt": "2026-09-19T20:21:26.569Z"
},
"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.