Enforcement record
Issuance of Warning Letter disclosure naming 株式会社日東イノベーション 代表取締役 A
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 January 2015
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 16, 2026, 03:30 AM JST
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Action summary
- Company
- 株式会社日東イノベーション 代表取締役 AJapanese onlyOriginal: 株式会社日東イノベーション 代表取締役 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 January 2015
- 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
The entity sent solicitation materials and mediated stock trading委託. They received a phone call誘導 for stock purchase from the business, followed by a資料 containing company概要, and information誘導 about managing funds if預けてくれれば.
Show original Japanese text
勧誘資料等を送付したうえで、株式売買の委託の媒介を行っていたもの。 当該業者から株式購入の電話勧誘があり、その後、会社概要が記載された資料の送付を受けたほか、「お金を預けてくれれば運用する」と勧誘を受けたとの情報が寄せられている。
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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This context is an operational aid for review workflows, not a credit opinion or legal conclusion.
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.