Enforcement record

Issuance of Warning Letter disclosure naming MASTERS DPB LIMITED 代表取締役兼日本における代表者 A

MASTERS DPB LIMITED 代表取締役兼日本における代表者 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.

Financial Instruments and Exchange ActFinancial Services Agency and Local Finance BureausGovernment disclosure1 January 2015

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

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-MASTERSD-202607271502
Generated at: 28 July 2026 at 00:02
Record URL: https://regbase.jp/en/enforcement/kinshoho-mastersdpblimiteddai-biao-qu-di-yi-jian-ri-ben-niokerudai-biao-zhe-a-20150101

1. Review Summary

Disclosure name	MASTERS DPB LIMITED 代表取締役兼日本における代表者 A	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 January 2015	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	MASTERS DPB LIMITED 代表取締役兼日本における代表者 A

3. Enforcement Record

Target name in disclosure	MASTERS DPB LIMITED 代表取締役兼日本における代表者 A
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 January 2015 / Announcement: 1 January 2015
English summary	The company and its representative director in Japan, A, entered into investment discretionary contracts with clients and invested part of the entrusted funds in domestic stocks and other securities. The Securities and Exchange Surveillance Commission filed a petition on January 14, 2015, to prohibit and cease the defendant's violation of the Financial Instruments and Exchange Act by conducting unregistered investment activities based on these contracts.
Original Japanese text	当社及び当社の代表取締役兼日本における代表者Aは、顧客との間で投資一任契約を締結し、当該契約に基づき、顧客から預託を受けた運用資金の一部を国内株式等に投資して運用を行っていたもの。（※）当該業者は、証券取引等監視委員会において、平成27年1月14日、裁判所への金融商品取引法違反行為（無登録で、投資一任契約を締結し、当該契約に基づき、金融商品の価値等の分析に基づく投資判断に基づいて有価証券等に対する投資として、金銭等の運用を業として行うこと）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。
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 23:04 / 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

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Free report

Save the disclosure record naming MASTERS DPB LIMITED 代表取締役兼日本における代表者 A

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Preserved evidence by Kiroku

Review the preserved source for MASTERS DPB LIMITED 代表取締役兼日本における代表者 A

Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.

Open preserved source and evidence pack

For developers: JSON integration details

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/api/v1/enforcements?company=MASTERS%20DPB%20LIMITED%20%E4%BB%A3%E8%A1%A8%E5%8F%96%E7%B7%A0%E5%BD%B9%E5%85%BC%E6%97%A5%E6%9C%AC%E3%81%AB%E3%81%8A%E3%81%91%E3%82%8B%E4%BB%A3%E8%A1%A8%E8%80%85%20A&limit=10

Open JSON Specs

Action summary

Company: MASTERS DPB LIMITED 代表取締役兼日本における代表者 AJapanese only
Original: MASTERS DPB LIMITED 代表取締役兼日本における代表者 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

Machine-translated summary — verify against original

The company and its representative director in Japan, A, entered into investment discretionary contracts with clients and invested part of the entrusted funds in domestic stocks and other securities. The Securities and Exchange Surveillance Commission filed a petition on January 14, 2015, to prohibit and cease the defendant's violation of the Financial Instruments and Exchange Act by conducting unregistered investment activities based on these contracts.

Show original Japanese text

当社及び当社の代表取締役兼日本における代表者Aは、顧客との間で投資一任契約を締結し、当該契約に基づき、顧客から預託を受けた運用資金の一部を国内株式等に投資して運用を行っていたもの。（※）当該業者は、証券取引等監視委員会において、平成27年1月14日、裁判所への金融商品取引法違反行為（無登録で、投資一任契約を締結し、当該契約に基づき、金融商品の価値等の分析に基づく投資判断に基づいて有価証券等に対する投資として、金銭等の運用を業として行うこと）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。

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.

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

Original Financial Services Agency and Local Finance Bureaus source (Japanese)Open preserved source and evidence pack

Extracted at: 2026-05-14T21:13:26.086+00:00
Evidence checked: 2026-07-27T14:04:10.725+00:00
Archive captured: 2026-05-15T18:30:47.935052+00:00

Show audit JSON

{
  "record": {
    "id": "bb6a7702-da7d-47a5-a586-86c10bad8a93",
    "url": "https://regbase.jp/en/enforcement/kinshoho-mastersdpblimiteddai-biao-qu-di-yi-jian-ri-ben-niokerudai-biao-zhe-a-20150101",
    "company_name_original": "MASTERS DPB LIMITED 代表取締役兼日本における代表者 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-mastersdpblimiteddai-biao-qu-di-yi-jian-ri-ben-niokerudai-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": "2026-07-06T04:17:01.923+00:00",
    "evidenceCheckedAt": "2026-07-27T14:04:10.725+00:00",
    "generatedAt": "2026-07-27T15:02:08.872Z"
  },
  "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.