Enforcement record
Issuance of Warning Letter disclosure naming 株式会社オーバル 代表取締役 A(当時)
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 July 2014
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
- 株式会社オーバル 代表取締役 A(当時)Japanese onlyOriginal: 株式会社オーバル 代表取締役 A(当時)
- 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 July 2014
- 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, based on an agreement with G3 Corporation (Type 2 Financial Instruments Business, Investment Advisory and Agency Business, hereafter referred to as [G3 Corporation]), allowed its employees and unregistered agents under its umbrella to use business cards bearing G3 Corporation's trade name, and engaged in solicitation for acquiring overseas funds under G3 Corporation's name. This was revealed as a result of an inspection of G3 Corporation by the Securities and Exchange Surveillance Commission.
Show original Japanese text
ジースリー株式会社（第二種金融商品取引業、投資助言・代理業、以下「ジースリー社」という。）との合意のもと、当社の社員及びその傘下の無登録代理店に対し、ジースリー社の商号等が記載された名刺を使用させるなど、ジースリー社の名義において海外ファンド等の取得勧誘を行っていたもの。 証券取引等監視委員会によるジースリー株式会社に対する検査の結果、判明したもの。
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.