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
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 January 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
- MASTERS DPB LIMITED 代表取締役兼日本における代表者 AJapanese onlyOriginal: 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
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 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
- 2026-09-19T11:19:01.879+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": "2026-09-19T11:19:01.879+00:00",
"generatedAt": "2026-09-19T18:22:28.381Z"
},
"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.