Enforcement record

Surcharge Payment Order disclosure naming 株式会社さいか屋株式

株式会社さいか屋株式 (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 AgencyGovernment disclosure8 December 2021

Action type

Surcharge Payment Order

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency

Action date

8 December 2021

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
Official source URL: Recorded by RegBase
Entity match: Not confirmed; shown under the published name
Kiroku preservation: Completed archive verified; Captured: Jul 12, 2026, 02:53 PM 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: 株式会社さいか屋株式Japanese only
Original: 株式会社さいか屋株式
Governing law: Financial Instruments and Exchange Act
金融商品取引法
Action type: Surcharge Payment Order
課徴金納付命令
Action date: 8 December 2021
Penalty: ¥13M (¥13,340,000)
Issuing authority: Financial Services Agency
金融庁

Violation

Machine-translated summary — verify against original

The Financial Services Agency, based on a recommendation from the Securities and Exchange Surveillance Commission regarding a penalty payment order related to Sakaeya Co., Ltd., initiated adjudication procedures on September 18, 2020, under the case number Heisei 2-nen (Han) No. 9, for violations of the Financial Instruments and Exchange Act. Since then, three adjudicators have conducted proceedings. Recently, a draft decision to order the payment of the penalty was submitted by the adjudicators based on Article 185-6 of the Financial Instruments and Exchange Act. The decision was made as described below.

Show original Japanese text

金融庁は、証券取引等監視委員会から（株）さいか屋株式に係る安定操作の検査結果に基づく課徴金納付命令の勧告を受け、令和2年9月18日に審判手続開始の決定（令和2年度(判)第9号金融商品取引法違反審判事件）を行い、以後審判官3名により審判手続が行われてきましたが、今般、審判官から金融商品取引法第185条の6の規定に基づき、課徴金の納付を命ずる旨の決定案が提出されたことから、以下のとおり決定を行いました。

Compliance context

Medium-high

A formal administrative order requiring payment of a monetary surcharge.

Financial markets law covering securities, investment services, disclosure, and market conduct.

Review the amount, covered conduct, recurrence history, and remediation evidence before making a risk decision.

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 source (Japanese)Open preserved source and evidence pack

Extracted at: 2026-04-24T23:27:39.223+00:00
Evidence checked: 2026-04-24T23:27:39.223+00:00
Archive captured: 2026-07-12T05:53:29.453759+00:00

Show audit JSON

{
  "record": {
    "id": "9b1aac44-ce1e-463a-a250-315019b4dd03",
    "url": "https://regbase.jp/en/enforcement/kinshoho-saikawu-zhu-shi-20211208",
    "company_name_original": "株式会社さいか屋株式",
    "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": "課徴金納付命令",
      "en": "Surcharge Payment Order"
    },
    "authority": {
      "ja": "金融庁",
      "en": "Financial Services Agency"
    }
  },
  "entity_match": {
    "status": "unresolved",
    "confidence": 60,
    "method": "extracted_japanese_name",
    "method_label": "Company name extracted from the Japanese public disclosure",
    "notes": "The linked company profile has not been verified under the current identity policy."
  },
  "review": {
    "status": "unreviewed",
    "label": "Machine extracted"
  },
  "compliance_context": {
    "severity": "Medium-high",
    "actionMeaning": "A formal administrative order requiring payment of a monetary surcharge.",
    "practicalNote": "Review the amount, covered conduct, recurrence history, and remediation evidence before making a risk decision.",
    "lawContext": "Financial markets law covering securities, investment services, disclosure, and market conduct."
  },
  "evidence": {
    "recordUrl": "https://regbase.jp/en/enforcement/kinshoho-saikawu-zhu-shi-20211208",
    "officialSourceUrl": "https://www.fsa.go.jp/news/r3/shouken/20211008-1.html",
    "officialDocumentUrl": null,
    "archiveUrl": "https://kiroku.today/a/ef8350f952hdjvuh",
    "archivedSourceUrl": "https://www.fsa.go.jp/news/r3/shouken/20211008-1.html",
    "archiveCapturedAt": "2026-07-12T05:53:29.453759+00:00",
    "extractedAt": "2026-04-24T23:27:39.223+00:00",
    "translatedAt": "2026-05-01T06:44:57.893+00:00",
    "evidenceCheckedAt": "2026-04-24T23:27:39.223+00:00",
    "generatedAt": "2026-09-16T10:40:05.854Z"
  },
  "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.