Enforcement record

Issuance of Warning Letter disclosure naming 株式会社ニューライフ 代表取締役 A

株式会社ニューライフ 代表取締役 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 November 2016

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 November 2016

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
株式会社ニューライフ 代表取締役 AJapanese only
Original: 株式会社ニューライフ 代表取締役 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 November 2016
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 entity sent solicitation materials and conducted fund (stock) offerings or private placements. There is information that the entity received materials titled [Guide to TSE IPO Stock Management].

Show original Japanese text

勧誘資料等を送付したうえで、ファンド（株式）の募集又は私募を行っていたもの。 当該業者から「ご案内 東証IPO株式運用」と題する資料の送付を受け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 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.

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.