Enforcement record
Issuance of Warning Letter disclosure naming 株式会社Master 代表取締役 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 March 2018
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
- Saved content requires review
- Captured: May 16, 2026, 03:30 AM JST
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Action summary
- Company
- 株式会社Master 代表取締役 AJapanese onlyOriginal: 株式会社Master 代表取締役 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 March 2018
- 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 respondent engaged in investment advisory activities based on an investment advisory contract and mediated over-the-counter derivatives transactions via the internet. The Financial Instruments and Exchange Surveillance Commission filed a petition with the court on March 2, 2018, seeking an order to prohibit and suspend the respondent's violation of the Financial Instruments and Exchange Act by conducting unregistered investment advisory services and Type I Financial Instruments Business.
Show original Japanese text
インターネットを通じて、投資顧問契約に基づき、助言を行っていたほか、店頭デリバティブ取引の媒介を行っていたもの （※）当該業者は、証券取引等監視委員会において、平成30年3月2日、裁判所への金融商品取引法違反行為（無登録で、投資助言業務及び第一種金融商品取引業を行うこと）の禁止及び停止を命ずるよう申立てを行った被申立人である。
Public documents and saved materials
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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.
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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.