Enforcement record

Issuance of Warning Letter disclosure naming 日立パートナーズ株式会社 代表取締役 A

日立パートナーズ株式会社 代表取締役 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 November 2012

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 November 2012

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
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Action summary

Company
日立パートナーズ株式会社 代表取締役 AJapanese only
Original: 日立パートナーズ株式会社 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 November 2012
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

Sent solicitation materials and engaged in the sale or mediation of securities. Impersonated the address of registered financial instruments business operator Hitachi Investment Advisory Co., Ltd.

Show original Japanese text

勧誘資料を送付したうえで、有価証券の売買又はその媒介等を行っていたもの。 登録を受けた金融商品取引業者である「日立投資顧問株式会社」の所在地を騙っていた。

Public documents and saved materials

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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.

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.