Enforcement record

Issuance of Warning Letter disclosure naming 株式会社サン（代表取締役 A）

株式会社サン（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 2019

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 December 2019

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: Jun 20, 2026, 03:31 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: 株式会社サン（代表取締役 A）Japanese only
Original: 株式会社サン（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 2019
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

B (Trade Master Lab), an investment advisory and agency business, used its name to conduct investment advisory activities based on an investment advisory contract. The authorities' inspection revealed that B allowed an unregistered company, Sun Co., Ltd., to use B’s name to provide investment advice regarding the timing and prices of trades in Nikkei 225 options.

Show original Japanese text

投資助言・代理業者であるB（トレードマスターラボ）の名義を借り、投資顧問契約に基づく投資助言行為を行っていたもの。当局がB（トレードマスターラボ）（以下「B」）を検査した結果、Bが、金融商品取引業の登録を受けていない株式会社サンにBの名義を使用させて、日経225オプション取引に係る売買のタイミングや価格等について投資助言行為を行わせていたことが判明したもの。

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: 2026-06-25T15:43:53.281+00:00
Evidence checked: 2026-09-28T18:29:55.407+00:00
Archive captured: 2026-06-19T18:31:06.606588+00:00

Show audit JSON

{
  "record": {
    "id": "ebb1a3ba-367d-46b6-9ed0-fc366682cb80",
    "url": "https://regbase.jp/en/enforcement/kinshoho-sandai-biao-qu-di-yi-a-20191201",
    "company_name_original": "株式会社サン （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-sandai-biao-qu-di-yi-a-20191201",
    "officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
    "officialDocumentUrl": null,
    "archiveUrl": "https://kiroku.today/a/9fa660712el9kyh0",
    "archivedSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
    "archiveCapturedAt": "2026-06-19T18:31:06.606588+00:00",
    "extractedAt": "2026-06-25T15:43:53.281+00:00",
    "translatedAt": "2026-07-06T04:21:43.684+00:00",
    "evidenceCheckedAt": "2026-09-28T18:29:55.407+00:00",
    "generatedAt": "2026-09-29T02:10:50.498Z"
  },
  "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.