Enforcement record

Issuance of Warning Letter disclosure naming Ocean Union Technology Limited

Ocean Union Technology Limited (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 July 2019

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 July 2019

RegBase evidence report

Japanese public-record enforcement check

Saveable record of the published action, regulator source, source status, and review notes for internal compliance files.

Report ID: RB-EN-ENFORCEMENT-KINSHOHO-OCEANUNI-202608140846
Generated at: 14 August 2026 at 17:46
Record URL: https://regbase.jp/en/enforcement/kinshoho-oceanuniontechnologylimited-20190701

1. Review Summary

Disclosure name	Ocean Union Technology Limited	Corporate Number	Not stated in the disclosure
Enforcement record	1 record	Other confirmed records for this company	Outside this report's scope
Action date	1 July 2019	Authority	Financial Services Agency and Local Finance Bureaus
Law	Financial Instruments and Exchange Act	Action type	Issuance of Warning Letter
Source status	Preserved public-source archive recorded

This report summarizes public Japanese government disclosure data held by RegBase. It is not a credit score, sanctions conclusion, legal opinion, or adverse-media determination. Confirm important decisions against the linked official Japanese source.

2. Published Information

Published name	Ocean Union Technology Limited

3. Enforcement Record

Target name in disclosure	Ocean Union Technology Limited
Authority	Financial Services Agency and Local Finance Bureaus (金融庁・財務局)
Law / action type	Financial Instruments and Exchange Act / Issuance of Warning Letter
Action / announcement date	Action: 1 July 2019 / Announcement: 1 July 2019
English summary	A firm was engaged in soliciting and handling the募集 or private placement of a fund, sending solicitation materials. The firm reportedly entered into a partnership program agreement with SDD HOLDINGS PTE.LTD. regarding customer introductions for the fund titled [SWAP Arbitrage Diversified Program], issued by SDD Asset Management Limited, and conducted募集 or private placement activities based on this agreement. On March 29, 2019, the firm and SDD HOLDINGS PTE.LTD. were warned for conducting financial instruments business without registration.
Original Japanese text	勧誘資料等を送付したうえで、ファンドの募集又は私募の取扱いを行っていたもの当該業者は、SDD Asset Management Limitedを発行責任者とする「SWAP Arbitrage Diversified Program」と題するファンドに関し、SDD HOLDINGS PTE.LTD.との間で顧客紹介に関するパートナーシップ・プログラム契約書を取り交わし、当該契約に基づき当該ファンドの募集又は私募の取扱いを行っていたとの情報が寄せられている。 SDD Asset Management Limited及びSDD HOLDINGS PTE.LTD.に対し、平成31年3月29日付で無登録で金融商品取引業を行う者として警告を行っている。
Official source	https://www.fsa.go.jp/ordinary/chuui/mutouroku.html
Source archive	https://kiroku.today/a/9fa660712e7967kc
Extraction / evidence timestamps	Extracted: 15 May 2026 at 06:13 / Evidence checked: 14 August 2026 at 01:47 / Archive captured: 16 May 2026 at 03:30

4. Business Location and Permit Details

No additional structured business-location or permit fields are recorded for this disclosure.

5. Other Confirmed Records for This Company

This report covers the single government disclosure shown on this page.

Reviewer Notes

Reviewer		Team / company
Review purpose
Additional notes

□ Official source URL or archived source was checked.
□ Corporate Number, address, or other identifiers were reviewed to avoid confusing similarly named entities.
□ This document is understood as a public-record evidence file, not a credit decision or legal opinion.

Current page: Enforcement record

This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.

Free report

Save the disclosure record naming Ocean Union Technology Limited

Includes the published name, regulator, governing law, source links, archive status, and reviewer note fields for internal due-diligence files.

Preserved evidence by Kiroku

Review the preserved source for Ocean Union Technology Limited

Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.

Open preserved source and evidence pack

For developers: JSON integration details

You do not need this for normal browsing. Use it only when integrating this enforcement record into an internal tool or AI workflow.

/api/v1/enforcements?company=Ocean%20Union%20Technology%20Limited&limit=10

Open JSON Specs

Action summary

Company: Ocean Union Technology LimitedJapanese only
Original: Ocean Union Technology Limited
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 2019
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（海外）

Violation

Machine-translated summary — verify against original

A firm was engaged in soliciting and handling the募集 or private placement of a fund, sending solicitation materials. The firm reportedly entered into a partnership program agreement with SDD HOLDINGS PTE.LTD. regarding customer introductions for the fund titled [SWAP Arbitrage Diversified Program], issued by SDD Asset Management Limited, and conducted募集 or private placement activities based on this agreement. On March 29, 2019, the firm and SDD HOLDINGS PTE.LTD. were warned for conducting financial instruments business without registration.

Show original Japanese text

勧誘資料等を送付したうえで、ファンドの募集又は私募の取扱いを行っていたもの当該業者は、SDD Asset Management Limitedを発行責任者とする「SWAP Arbitrage Diversified Program」と題するファンドに関し、SDD HOLDINGS PTE.LTD.との間で顧客紹介に関するパートナーシップ・プログラム契約書を取り交わし、当該契約に基づき当該ファンドの募集又は私募の取扱いを行っていたとの情報が寄せられている。 SDD Asset Management Limited及びSDD HOLDINGS PTE.LTD.に対し、平成31年3月29日付で無登録で金融商品取引業を行う者として警告を行っている。

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.

Evidence pack

Original Financial Services Agency and Local Finance Bureaus source (Japanese)Open preserved source and evidence pack

Extracted at: 2026-05-14T21:13:26.084+00:00
Evidence checked: 2026-08-13T16:47:22.164+00:00
Archive captured: 2026-05-15T18:30:47.935052+00:00

Show audit JSON

{
  "record": {
    "id": "cabfcfa5-c77e-48ef-bfe0-e662fc89db39",
    "url": "https://regbase.jp/en/enforcement/kinshoho-oceanuniontechnologylimited-20190701",
    "company_name_original": "Ocean Union Technology Limited",
    "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-oceanuniontechnologylimited-20190701",
    "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": "2026-05-14T21:13:26.084+00:00",
    "translatedAt": "2026-07-06T04:18:05.28+00:00",
    "evidenceCheckedAt": "2026-08-13T16:47:22.164+00:00",
    "generatedAt": "2026-08-14T08:46:13.022Z"
  },
  "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.