Possible 警告書発出 against K.K. Opuninguberu Dai Biao Qu Di Yi A

株式会社オープニングベル 代表取締役 A (Financial Instruments and Exchange Act)
Financial Instruments and Exchange Act金融庁・財務局Possible entity match1 June 2019

Action summary

Company
Original: 株式会社オープニングベル 代表取締役 A
Entity match
Possible entity match60/100Machine extracted
Company 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 June 2019
Issuing authority
金融庁・財務局
金融庁・財務局

Violation

Show original Japanese text

投資助言・代理業者である東海投資助言サービス合同会社の名義を借り、投資顧問契約に基づく投資助言行為を行っていたもの 当局が東海投資助言サービス合同会社(以下「東海投資助言サービス社」)を検査した結果、東海投資助言サービス社が、金融商品取引業の登録を受けていない当該業者に東海投資助言サービス社の名義を使用させて、顧客に投資顧問契約を締結させ、国内株式に係る売買のタイミングや価格等を電子メールで配信する投資助言行為を行わせていたことが判明したもの

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 金融庁・財務局 announcement (Japanese)
Extracted at
2026-05-14T21:13:26.084+00:00
Evidence checked
Not recorded
Archive captured
Not archived
Show audit JSON
{
  "record": {
    "id": "b58ce075-85f7-479c-9b89-b77e494dbe90",
    "url": "https://regbase.jp/en/enforcement/kinshoho-opuninguberudai-biao-qu-di-yi-a-20190601",
    "company_name_original": "株式会社オープニングベル 代表取締役 A",
    "company_name_registry": "株式会社オープニングベル 代表取締役 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-opuninguberudai-biao-qu-di-yi-a-20190601",
    "officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
    "archiveUrl": null,
    "archiveCapturedAt": null,
    "extractedAt": "2026-05-14T21:13:26.084+00:00",
    "translatedAt": null,
    "evidenceCheckedAt": null,
    "generatedAt": "2026-05-15T03:55:24.768Z"
  },
  "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.

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Company info

English name
K.K. Opuninguberu Dai Biao Qu Di Yi A Romanized
Japanese name
株式会社オープニングベル 代表取締役 A
See company profile →

About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.