Enforcement record
Issuance of Warning Letter disclosure naming 山根 晋爾
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
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
- Saved content requires review
- 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.
Available sources and saved files are listed in the public documents section below.
Action summary
- Company
- 山根 晋爾Japanese onlyOriginal: 山根 晋爾
- 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
A person used the name of Katsumi Horita (Trade Master Lab), an investment advisory and agency business operator, to conduct investment advisory activities based on an investment advisory contract. The authorities' inspection revealed that Horita allowed Shinji Yamane, who was not registered for financial instruments business, to use Horita's 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。
Public documents and saved materials
View official publications and the available saved materials. Purchase a one-time evidence pack to download the compiled files.
Loading materials…
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.
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.