Enforcement record
Issuance of Warning Letter disclosure naming 株式会社サン （代表取締役 池田勇太郎）
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 2019
RegBase evidence report
Japanese public-record enforcement check
Saveable record of the published action, regulator source, source status, and review notes for internal compliance files.
- Report ID
- RB-EN-ENFORCEMENT-KINSHOHO-SANDAI-B-202608140851
- Generated at
- 14 August 2026 at 17:51
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-sandai-biao-qu-di-yi-chi-tian-yong-tai-lang-20191201
1. Review Summary
| Disclosure name | 株式会社サン （代表取締役 池田勇太郎） | Corporate Number | Not stated in the disclosure |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Outside this report's scope |
| Action date | 1 December 2019 | Authority | Financial Services Agency and Local Finance Bureaus |
| Law | Financial Instruments and Exchange Act | Action type | Issuance of Warning Letter |
| Source status | Preserved public-source archive recorded | ||
This report summarizes public Japanese government disclosure data held by RegBase. It is not a credit score, sanctions conclusion, legal opinion, or adverse-media determination. Confirm important decisions against the linked official Japanese source.
2. Published Information
| Published name | 株式会社サン （代表取締役 池田勇太郎） |
|---|
3. Enforcement Record
| Target name in disclosure | 株式会社サン （代表取締役 池田勇太郎） |
|---|---|
| Authority | Financial Services Agency and Local Finance Bureaus (金融庁・財務局) |
| Law / action type | Financial Instruments and Exchange Act / Issuance of Warning Letter |
| Action / announcement date | Action: 1 December 2019 / Announcement: 1 December 2019 |
| English summary | Hottoda Katsumi (Trade Master Lab), an investment advisor and agent, was found to have used his name to conduct investment advisory activities based on an investment advisory contract. The authorities' inspection revealed that Hottoda allowed Sun Corporation, which is not registered as a financial instruments business operator, to use his name to provide investment advice regarding the timing and prices of Nikkei 225 options trading. |
| Original Japanese text | 投資助言・代理業者である堀田勝己（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。 当局が堀田勝己（トレードマスターラボ）（以下「堀田」）を検査した結果、堀田が、金融商品取引業の登録を受けていない株式会社サンに堀田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。 |
| Official source | https://www.fsa.go.jp/ordinary/chuui/mutouroku.html |
| Source archive | https://kiroku.today/a/9fa660712e7967kc |
| Extraction / evidence timestamps | Extracted: 15 May 2026 at 06:13 / Evidence checked: 15 May 2026 at 06:13 / Archive captured: 16 May 2026 at 03:30 |
4. Business Location and Permit Details
No additional structured business-location or permit fields are recorded for this disclosure.
5. Other Confirmed Records for This Company
This report covers the single government disclosure shown on this page.
Reviewer Notes
| Reviewer | Team / company | ||
|---|---|---|---|
| Review purpose | |||
| Additional notes | |||
- □ Official source URL or archived source was checked.
- □ Corporate Number, address, or other identifiers were reviewed to avoid confusing similarly named entities.
- □ This document is understood as a public-record evidence file, not a credit decision or legal opinion.
Current page: Enforcement record
This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.
Free report
Save the disclosure record naming 株式会社サン （代表取締役 池田勇太郎）
Includes the published name, regulator, governing law, source links, archive status, and reviewer note fields for internal due-diligence files.
Preserved evidence by Kiroku
Review the preserved source for 株式会社サン （代表取締役 池田勇太郎）
Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.
For developers: JSON integration details
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Action summary
- Company
- 株式会社サン （代表取締役 池田勇太郎）Japanese onlyOriginal: 株式会社サン （代表取締役 池田勇太郎）
- 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
Hottoda Katsumi (Trade Master Lab), an investment advisor and agent, was found to have used his name to conduct investment advisory activities based on an investment advisory contract. The authorities' inspection revealed that Hottoda allowed Sun Corporation, which is not registered as a financial instruments business operator, to use his name to provide investment advice regarding the timing and prices of Nikkei 225 options trading.
Show original Japanese text
投資助言・代理業者である堀田勝己（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。 当局が堀田勝己（トレードマスターラボ）（以下「堀田」）を検査した結果、堀田が、金融商品取引業の登録を受けていない株式会社サンに堀田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 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
- 2026-05-14T21:13:26.084+00:00
- Evidence checked
- 2026-05-14T21:13:26.084+00:00
- Archive captured
- 2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
"record": {
"id": "507cfe1f-9c1d-4388-8a1f-62c6632bb18b",
"url": "https://regbase.jp/en/enforcement/kinshoho-sandai-biao-qu-di-yi-chi-tian-yong-tai-lang-20191201",
"company_name_original": "株式会社サン （代表取締役 池田勇太郎）",
"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": "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": "machine_reviewed",
"label": "Machine checked"
},
"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-chi-tian-yong-tai-lang-20191201",
"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": "2026-05-14T21:13:26.084+00:00",
"translatedAt": "2026-07-06T04:18:38.096+00:00",
"evidenceCheckedAt": "2026-05-14T21:13:26.084+00:00",
"generatedAt": "2026-08-14T08:51:21.094Z"
},
"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.