Enforcement record
Issuance of Warning Letter disclosure naming 株式会社日興マネジメント
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 December 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
- 株式会社日興マネジメントJapanese onlyOriginal: 株式会社日興マネジメント
- 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 December 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
A company sent solicitation materials and solicited the purchase of unlisted stocks. The name of the representative is unknown. A postcard titled 'We buy non-performing loans!!' was sent by the company, and there are reports of a telephone solicitation for purchasing unlisted stocks. The company is impersonating a registered financial instruments business operator, Nikko Asset Management Co., Ltd., by using a similar trade name, address, and a registration number similar to 'Kanto Financial Bureau Chief No. 368'. The postcard states that transactions of non-performing loans will be prohibited as of October 15 or November 30, 2014, due to the Designated Financial Products Abolition Ordinance, but this is not true.
Show original Japanese text
勧誘資料等を送付したうえで、未公開株等の買取りの勧誘を行っていたもの。 代表者等の氏名は「不明」。 当該業者から「不良債権 買取ります！！」と題した葉書が送られ、電話において、未公開株の買取りの勧誘を受けたとの情報が寄せられている。 当該業者は、登録を受けた金融商品取引業者である「日興アセットマネジメント株式会社」の類似した商号及び所在地並びに財務局の登録番号に類似した「関東財務支局長368号」を騙っている。 葉書には「指定金融商品廃止条例により2014年10月15日（又は11月30日）をもって、不良債権の取引が禁止となります。」と記載しているが、そのような事実はない。
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.
Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive
- Extracted at
- 2026-05-14T21:13:26.086+00:00
- Evidence checked
- 2026-09-20T11:09:09.574+00:00
- Archive captured
- 2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
"record": {
"id": "456c83dc-6230-4be8-8f5f-f85f30057673",
"url": "https://regbase.jp/en/enforcement/kinshoho-ri-xing-manezimento-20141201",
"company_name_original": "株式会社日興マネジメント",
"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": 60,
"method": "source_name_only_no_registry_match",
"method_label": "source_name_only_no_registry_match",
"notes": "公表資料の名称は収録しましたが、法人番号へ安全に結び付ける独立証拠が不足しています。"
},
"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-ri-xing-manezimento-20141201",
"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": "2026-07-06T04:16:51.208+00:00",
"evidenceCheckedAt": "2026-09-20T11:09:09.574+00:00",
"generatedAt": "2026-09-20T19:02:07.510Z"
},
"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.