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.

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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

Current page: Enforcement record

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Publishing authority
Financial Services Agency and Local Finance Bureaus
Official source URL
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Not confirmed; shown under the published name
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Captured: May 16, 2026, 03:30 AM JST

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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.

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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.