Possible 警告書発出 against K.K. Purosuperiteiasiyuaransu
Action summary
- Company
- K.K. PurosuperiteiasiyuaransuRomanizedOriginal: 株式会社プロスペリティアシュアランス
- Entity match
- Possible entity match60/100Machine extractedCompany 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
- March 1, 2026
- Issuing authority
- 金融庁・財務局金融庁・財務局
Violation
Show original Japanese text
外国の法令に基づく集団投資スキーム持分の募集又は私募の取扱い及び投資一任契約の締結の媒介を行っていたもの (※)当該業者は、証券取引等監視委員会において、令和8年3月31日、裁判所への金融商品取引法違反行為(無登録で、同法第2条第2項第5号又は第6号に掲げる権利について、募集又は私募の取扱い及び投資一任契約の締結の媒介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た被申立人である。
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.
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
- Extracted at
- 2026-05-14T21:13:26.083+00:00
- Evidence checked
- Not recorded
- Archive captured
- Not archived
Show audit JSON
{
"record": {
"id": "306e7003-d3e5-4478-9c95-ccc994426ac4",
"url": "https://regbase.jp/en/enforcement/kinshoho-purosuperiteiasiyuaransu-20260301",
"company_name_original": "株式会社プロスペリティアシュアランス",
"company_name_registry": "株式会社プロスペリティアシュアランス",
"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-purosuperiteiasiyuaransu-20260301",
"officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
"archiveUrl": null,
"archiveCapturedAt": null,
"extractedAt": "2026-05-14T21:13:26.083+00:00",
"translatedAt": null,
"evidenceCheckedAt": null,
"generatedAt": "2026-05-15T01:38:29.519Z"
},
"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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Language
日本語版を見る (Japanese)Company info
- English name
- K.K. Purosuperiteiasiyuaransu Romanized
- Japanese name
- 株式会社プロスペリティアシュアランス
About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.