Enforcement record
Issuance of Warning Letter disclosure naming SDD Asset Management Limited
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 March 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: 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
- SDD Asset Management LimitedJapanese onlyOriginal: SDD Asset Management Limited
- 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 March 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（海外）
Violation
A person sent solicitation materials and conducted fund recruitment or private placement for a fund titled [SWAP Arbitrage Diversified Program], with the fund's responsible operator. They distributed solicitation materials, requested submission of an application form, and received transfers of investment funds into bank accounts under the names of SDD Investment Inc. and SDD Holdings Japan Branch. The authorities and the Kinki Financial Bureau issued a warning on March 29, 2019, to those handling the recruitment or private placement of the fund, for conducting financial instruments business without registration. Additionally, the [FX-Heart] service operated by SDD Partners Limited is the same as the service name provided by PLT Company Limited, which was warned by the authorities on April 28, 2017.
Show original Japanese text
勧誘資料等を送付したうえで、ファンドの募集又は私募を行っていたもの 当該業者を発行責任者とする「SWAP Arbitrage Diversified Program」と題するファンド（以下「当該ファンド」という。）への出資勧誘資料（以下「当該資料」という。）の配付を受け、「申込書」の提出を求められ、出資金として、名義を株式会社SDDインベストメントとする銀行口座や、名義をSDDホールディングス日本支店とする銀行口座に送金したとの情報が寄せられている。 当該ファンドの募集又は私募の取扱いを行っていた者に対し、当局及び近畿財務局が、平成31年3月29日付で無登録で金融商品取引業を行う者として警告を行っている。 なお、当該資料において、SDD Partners Limitedが運営していると記載がある「FX-Heart（サービス名）」は、当局が平成29年4月28日付で警告を行った、PLT Company Limitedが提供するサービス名と同一である。
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.
Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive
- Extracted at
- 2026-05-14T21:13:26.084+00:00
- Evidence checked
- 2026-09-28T18:30:04.252+00:00
- Archive captured
- 2026-05-15T18:30:47.935052+00:00
Show audit JSON
{
"record": {
"id": "dae5ff22-b3df-4fb1-a60d-312faed4395f",
"url": "https://regbase.jp/en/enforcement/kinshoho-sddassetmanagementlimited-20190301",
"company_name_original": "SDD Asset Management Limited",
"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-sddassetmanagementlimited-20190301",
"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": "2026-07-06T04:18:08.629+00:00",
"evidenceCheckedAt": "2026-09-28T18:30:04.252+00:00",
"generatedAt": "2026-09-29T03:06:46.648Z"
},
"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.