Enforcement record

Issuance of Warning Letter disclosure naming PLT Company Limited CEO A

PLT Company Limited CEO 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 April 2017

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 April 2017

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-PLTCOMPA-202607281117
Generated at: 28 July 2026 at 20:17
Record URL: https://regbase.jp/en/enforcement/kinshoho-pltcompanylimitedceoa-20170401

1. Review Summary

Disclosure name	PLT Company Limited CEO A	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 April 2017	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	PLT Company Limited CEO A

3. Enforcement Record

Target name in disclosure	PLT Company Limited CEO A
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 April 2017 / Announcement: 1 April 2017
English summary	An entity was soliciting over-the-counter derivative transactions over the internet. The services offered are called [FOREX HEART, FX-Heart]. Their website lists [Pacific Trade Limited] as a different company name, with an address at [41 Shortland Street, Plaza Level, Auckland, 1010 New Zealand]. This address is the same as that of [Scent Investments Limited], which was previously warned on February 25, 2015. Additionally, there are reports that a blog related to FX trading mentions this entity as a partner.
Original Japanese text	インターネットを通じて、店頭デリバティブ取引の勧誘を行っていたもの。当該業者が提供するサービスの名称は「FOREX HEART、FX-Heart」である。当該業者のウェブサイトにおいて、別の社名である「Pacific Trade Limited」が確認でき、その所在地として、「41 Shortland Street, Plaza Level, Auckland, 1010 New Zealand」との記載が確認できる。なお、別の社名の所在地は平成27年2月25日付で警告を行った「Scent Investments Limited」と同一である。また、FX取引に関するブログに、提携先として当該業者の記載があるとの情報が寄せられている。
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: 28 July 2026 at 06:26 / 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 PLT Company Limited CEO A

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 PLT Company Limited CEO A

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

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/api/v1/enforcements?company=PLT%20Company%20Limited%20CEO%20A&limit=10

Open JSON Specs

Action summary

Company: PLT Company Limited CEO AJapanese only
Original: PLT Company Limited CEO 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 April 2017
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

An entity was soliciting over-the-counter derivative transactions over the internet. The services offered are called [FOREX HEART, FX-Heart]. Their website lists [Pacific Trade Limited] as a different company name, with an address at [41 Shortland Street, Plaza Level, Auckland, 1010 New Zealand]. This address is the same as that of [Scent Investments Limited], which was previously warned on February 25, 2015. Additionally, there are reports that a blog related to FX trading mentions this entity as a partner.

Show original Japanese text

インターネットを通じて、店頭デリバティブ取引の勧誘を行っていたもの。当該業者が提供するサービスの名称は「FOREX HEART、FX-Heart」である。当該業者のウェブサイトにおいて、別の社名である「Pacific Trade Limited」が確認でき、その所在地として、「41 Shortland Street, Plaza Level, Auckland, 1010 New Zealand」との記載が確認できる。なお、別の社名の所在地は平成27年2月25日付で警告を行った「Scent Investments Limited」と同一である。また、FX取引に関するブログに、提携先として当該業者の記載があるとの情報が寄せられている。

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: 2026-05-14T21:13:26.085+00:00
Evidence checked: 2026-07-27T21:26:19.121+00:00
Archive captured: 2026-05-15T18:30:47.935052+00:00

Show audit JSON

{
  "record": {
    "id": "7197cbef-b2cc-42fc-9837-86fcc36e824c",
    "url": "https://regbase.jp/en/enforcement/kinshoho-pltcompanylimitedceoa-20170401",
    "company_name_original": "PLT Company Limited CEO A",
    "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-pltcompanylimitedceoa-20170401",
    "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": "2026-05-14T21:13:26.085+00:00",
    "translatedAt": "2026-07-06T04:18:28.51+00:00",
    "evidenceCheckedAt": "2026-07-27T21:26:19.121+00:00",
    "generatedAt": "2026-07-28T11:17:35.513Z"
  },
  "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.