Possible 警告書発出 against SDD Asset Management Limited
Action summary
- Company
- SDD Asset Management LimitedJapanese onlyOriginal: SDD Asset Management Limited
- 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 March 2019
- Issuing authority
- 金融庁・財務局金融庁・財務局
Violation
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.
Evidence pack
- Extracted at
- 2026-05-14T21:13:26.084+00:00
- Evidence checked
- Not recorded
- Archive captured
- Not archived
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": "SDD Asset Management Limited",
"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-sddassetmanagementlimited-20190301",
"officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
"archiveUrl": null,
"archiveCapturedAt": null,
"extractedAt": "2026-05-14T21:13:26.084+00:00",
"translatedAt": null,
"evidenceCheckedAt": null,
"generatedAt": "2026-05-15T03:53:04.653Z"
},
"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)Company info
- English name
- SDD Asset Management Limited Japanese only
- Japanese name
- SDD Asset Management Limited
About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.