Possible 警告書発出 against Profit Plan Limited CEO A(B)

Profit Plan Limited CEO A(B) (Financial Instruments and Exchange Act)
Financial Instruments and Exchange Act金融庁・財務局Possible entity match1 December 2015
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/api/v1/enforcements?company=Profit%20Plan%20Limited%20CEO%20A%EF%BC%88B%EF%BC%89&limit=10

Action summary

Company
Original: Profit Plan Limited CEO A(B)
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 December 2015
Issuing authority
金融庁・財務局
金融庁・財務局

Violation

Show original Japanese text

店頭デリバティブ取引の投資判断を一任される契約を締結し、金銭の運用を行っていたもの。 当該業者から、GSI Investment Incorporated(GSI INVESTMENT INCORPORATED)の口座開設の勧誘を受け、当該業者に投資判断を一任する旨の「Limited Power of Attorney Form」と題する書面の提出を求められたとの情報が寄せられている。 GSI Investment Incorporated(GSI INVESTMENT INCORPORATED)は無登録で金融商品取引業等を行っていたとして、同日付で警告を行っている。 当該業者の所在地は、平成25年4月5日付で警告を行った「Capital Works Investment Limited」と同一である。

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 金融庁・財務局 announcement (Japanese)Archived source snapshot
Extracted at
2026-05-14T21:13:26.085+00:00
Evidence checked
Not recorded
Archive captured
2026-05-20T12:30:51.465+00:00
Show audit JSON
{
  "record": {
    "id": "ef722dc0-a9e3-431a-9a36-4fafcd1818ff",
    "url": "https://regbase.jp/en/enforcement/kinshoho-profitplanlimitedceoab-20151201",
    "company_name_original": "Profit Plan Limited CEO A(B)",
    "company_name_registry": "Profit Plan Limited CEO A(B)",
    "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-profitplanlimitedceoab-20151201",
    "officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
    "archiveUrl": "https://kiroku.today/view/9fa660712e7967kc",
    "archiveCapturedAt": "2026-05-20T12:30:51.465+00:00",
    "extractedAt": "2026-05-14T21:13:26.085+00:00",
    "translatedAt": null,
    "evidenceCheckedAt": null,
    "generatedAt": "2026-05-21T12:10:15.808Z"
  },
  "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.

Company info

English name
Profit Plan Limited CEO A(B) Japanese original
Japanese name
Profit Plan Limited CEO A(B)
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.