Enforcement record

Issuance of Warning Letter disclosure naming プラス株式会社

プラス株式会社 (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 2014

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 July 2014

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: Completed archive verified; Captured: May 16, 2026, 03:30 AM JST

“Confirmed” means that RegBase matched this record to the cited public disclosure or entity under the stated checks. It does not verify the truth of the disclosure or guarantee the entity’s current status, creditworthiness, or any legal conclusion.

Open the official source links in the section below to review the original disclosure.

Action summary

Company: プラス株式会社Japanese only
Original: プラス株式会社
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 2014
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（国内）

Violation

Machine-translated summary — verify against original

An entity sent solicitation materials and handled the offering of unlisted shares. The name of the representative is unknown. The entity falsely claimed to be Plus Corporation and used its website, but is not related to the actual company. The entity received a phone call soliciting the purchase of unlisted shares of another company scheduled to be listed, and subsequently sent materials titled [Public Offering Stock Information]. These materials claimed that the issuing company of the unlisted shares was scheduled to be listed, but this is not true.

Show original Japanese text

勧誘資料等を送付したうえで、未公開株の募集の取扱いを行っていたもの。代表者等の氏名は「不明」。当該業者は実在する「プラス株式会社」の商号及びホームページアドレスを騙っているが、実在する会社とは関係がない。当該業者から電話で、上場予定の他の会社の未公開株の取得の勧誘を受け、その後、「公募株式のご案内」と題する資料等が送られたとの情報が寄せられている。当該資料には、上記未公開株の発行会社が上場予定である旨を記載しているが、そのような事実はない。

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.

Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive

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

Extracted at: 2026-05-14T21:13:26.086+00:00
Evidence checked: 2026-09-19T11:20:01.407+00:00
Archive captured: 2026-05-15T18:30:47.935052+00:00

Show audit JSON

{
  "record": {
    "id": "6688e727-f343-4575-8b0e-2bc69e2f0d26",
    "url": "https://regbase.jp/en/enforcement/kinshoho-purasu-20140701",
    "company_name_original": "プラス株式会社",
    "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": 0,
    "method": "candidate_set_incomplete",
    "method_label": "candidate_set_incomplete",
    "notes": "法人台帳の候補集合を完全に確認できなかったため、再照合が必要です。"
  },
  "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-purasu-20140701",
    "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": "2026-05-14T21:13:26.086+00:00",
    "translatedAt": "2026-07-06T04:21:02.992+00:00",
    "evidenceCheckedAt": "2026-09-19T11:20:01.407+00:00",
    "generatedAt": "2026-09-19T14:31:06.152Z"
  },
  "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.