Possible 警告書発出 against 山根晋爾

山根晋爾 (Financial Instruments and Exchange Act)

Financial Instruments and Exchange Act金融庁・財務局Possible entity match1 December 2019

Action summary

Company: 山根晋爾Japanese only
Original: 山根晋爾
Entity match: Possible entity match60/100Machine extracted
Company 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 December 2019
Issuing authority: 金融庁・財務局
金融庁・財務局

Violation

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山根晋爾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 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.

Evidence pack

Original 金融庁・財務局 announcement (Japanese)

Extracted at: 2026-05-14T21:13:26.084+00:00
Evidence checked: Not recorded
Archive captured: Not archived

Show audit JSON

{
  "record": {
    "id": "4d94a462-1aa2-4a2e-a6a2-ec48b827fef1",
    "url": "https://regbase.jp/en/enforcement/kinshoho-shan-gen-jin-er-20191201",
    "company_name_original": "山根 晋爾",
    "company_name_registry": "山根 晋爾",
    "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-shan-gen-jin-er-20191201",
    "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": "2026-05-15T03:53:10.285Z"
  },
  "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: 山根晋爾 Japanese only
Japanese name: 山根晋爾

See company profile →

About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.

Possible 警告書発出 against 山根 晋爾