Enforcement record

Issuance of Warning Letter disclosure naming 株式会社三田コンサルタント 代表取締役 A

株式会社三田コンサルタント 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 December 2013

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 December 2013

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
株式会社三田コンサルタント 代表取締役 AJapanese only
Original: 株式会社三田コンサルタント 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 December 2013
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

A company sent solicitation materials claiming to buy unlisted stocks and similar securities. The company sent a postcard titled 'Sale of Non-performing Loans and Refund Requests' and subsequently made phone calls to solicit stock purchases. The solicitation materials referenced the Securities and Exchange Surveillance Commission and were similar to those of Nikko Trading Co., Ltd., which had been issued a warning on the same day.

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を行うとしていたもの。 当該業者から「不良債権売却・返還請求のご案内」と題した葉書が送られ、その後、電話において未公開株の買取りを行うとの勧誘を受けたとの情報が寄せられている。 勧誘資料には、「加盟 証券取引等監視委員会」と記載している。 勧誘資料は、同日付で警告書を発出した「株式会社日興商事」と類似している。

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.

Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive
Original Financial Services Agency and Local Finance Bureaus source (Japanese)Open preserved source and evidence pack
Extracted at
2026-05-14T21:13:26.086+00:00
Evidence checked
2026-09-28T18:33:13.446+00:00
Archive captured
2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
  "record": {
    "id": "8bf43457-984e-43ed-9359-98d7207a6816",
    "url": "https://regbase.jp/en/enforcement/kinshoho-san-tian-konsarutantodai-biao-qu-di-yi-a-20131201",
    "company_name_original": "株式会社三田コンサルタント 代表取締役 A",
    "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-san-tian-konsarutantodai-biao-qu-di-yi-a-20131201",
    "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": "2026-07-06T04:20:14.903+00:00",
    "evidenceCheckedAt": "2026-09-28T18:33:13.446+00:00",
    "generatedAt": "2026-09-29T02:11:40.104Z"
  },
  "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.