Possible 警告書発出 against 三豊機関
Action summary
- Company
- 三豊機関Japanese onlyOriginal: 三豊機関
- 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
- 1 May 2024
- Issuing authority
- 金融庁・財務局金融庁・財務局
Violation
Show original Japanese text
ウェブサイト上に金融商品取引業を行う旨を表示したもの 当該業者は、当該業者のウェブサイト上で「投資運用業(投資一任業務)の兼業登録を完了」、「金融商品取引業者」、「三豊証券株式会社」、「四国財務局長(金商)第7号」、「加入協会:日本証券業協会」と表示していた。 なお、「四国財務局長(金商)第7号」は、登録を受けた金融商品取引業者である「三豊証券株式会社」の登録番号である。
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": "26e2f7bd-e94e-48d6-887f-3e8cee55a9f6",
"url": "https://regbase.jp/en/enforcement/kinshoho-san-li-ji-guan-20240501",
"company_name_original": "三豊機関",
"company_name_registry": "三豊機関",
"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-san-li-ji-guan-20240501",
"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": "2026-05-15T03:53:51.802Z"
},
"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)About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.