Enforcement record
Issuance of Warning Letter disclosure naming ナショナルホールディングス株式会社
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 April 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
- Saved content requires review
- Captured: May 16, 2026, 03:30 AM JST
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Action summary
- Company
- ナショナルホールディングス株式会社Japanese onlyOriginal: ナショナルホールディングス株式会社
- 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 April 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
An entity entered into a contract to be entrusted with investment decisions for market derivatives trading and managed funds accordingly. The name of the representative is unknown. It is reported that the entity was solicited by the operator to purchase an automatic trading software for Nikkei 225 options trading, and after purchasing, was instructed by a securities company to open an account and was asked to notify the operator of the account ID and password.
Show original Japanese text
市場デリバティブ取引の投資判断を一任される契約を締結し、金銭の運用を行っていたもの。 代表者等の氏名は「不明」。 当該業者から、日経225オプション取引について自動売買ソフトの勧誘を受け、購入したところ、証券会社に口座開設を指示され、当該口座のIDとパスワードを当該業者に通知するように求められたとの情報が寄せられている。
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.