Enforcement record
Issuance of Warning Letter disclosure naming OS-Laugh Marketing Ltd.
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 December 2022
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 23, 2026, 09:30 AM JST
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Action summary
- Company
- OS-Laugh Marketing Ltd.Japanese onlyOriginal: OS-Laugh Marketing Ltd.
- 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 December 2022
- 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
An entity engaged in over-the-counter derivatives trading was found by the Financial Instruments and Exchange Surveillance Commission to be conducting such trading without registration. Additionally, on December 9, 2022, the Commission filed a petition with the court to prohibit and cease the illegal conduct of engaging in over-the-counter derivatives trading without registration, specifically targeting Mr. Hiroshi Yamamoto, who manages the company's OTC derivatives operations.
Show original Japanese text
店頭デリバティブ取引を行っていたもの （※）当該業者は、証券取引等監視委員会の調査において、無登録で、店頭デリバティブ取引を業として行っていることが認められた。 なお、当社の店頭デリバティブ取引の運営を取り仕切っている山本絋士に対し、証券取引等監視委員会において、令和4年12月9日、裁判所への金融商品取引法違反行為（無登録で、店頭デリバティブ取引を業として行うこと）の禁止及び停止を命ずるよう申立てを行っている。
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.