Possible 警告書発出 against MASTERS DPB LIMITED 代表取締役兼日本における代表者 A
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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=10Action summary
- Company
- MASTERS DPB LIMITED 代表取締役兼日本における代表者 AJapanese originalOriginal: MASTERS DPB LIMITED 代表取締役兼日本における代表者 A
- Entity match
- Possible entity match60/100Machine extractedCompany name extracted from the Japanese public disclosure
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- 警告書発出警告書発出
- Action date
- 1 January 2015
- Issuing authority
- 金融庁・財務局金融庁・財務局
Violation
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.
Evidence pack
- Extracted at
- 2026-05-14T21:13:26.086+00:00
- Evidence checked
- Not recorded
- Archive captured
- Not archived
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": "MASTERS DPB LIMITED 代表取締役兼日本における代表者 A",
"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": "警告書発出"
},
"authority": {
"ja": "金融庁・財務局",
"en": "金融庁・財務局"
}
},
"entity_match": {
"status": "possible",
"confidence": 60,
"method": "extracted_japanese_name",
"method_label": "Company name extracted from the Japanese public disclosure",
"notes": null
},
"review": {
"status": "unreviewed",
"label": "Machine extracted"
},
"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",
"archiveUrl": null,
"archiveCapturedAt": null,
"extractedAt": "2026-05-14T21:13:26.086+00:00",
"translatedAt": null,
"evidenceCheckedAt": null,
"generatedAt": "2026-05-21T04:26:58.141Z"
},
"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)Company info
- English name
- MASTERS DPB LIMITED 代表取締役兼日本における代表者 A Japanese original
- Japanese name
- MASTERS DPB LIMITED 代表取締役兼日本における代表者 A
About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.