Enforcement record

Issuance of Warning Letter disclosure naming Smarttool Trading SC Limited

Smarttool Trading SC Limited (Financial Instruments and Exchange Act)

This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.

Financial Instruments and Exchange ActFinancial Services Agency and Local Finance BureausGovernment disclosure1 January 2026

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 January 2026

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: Smarttool Trading SC LimitedJapanese only
Original: Smarttool Trading SC 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 January 2026
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

Machine-translated summary — verify against original

A company was soliciting over-the-counter derivative transactions over the internet. The services provided by the company are named Axia, Axia, Axia Trade, and Axia Trade. The relationship with this company is unknown, but its location is similar or nearly identical to those of the following entities that have been warned: Trinota Markets (Global) Limited (warned on January 29, 2025), XS Ltd (warned on September 25, 2024), Nymstar Limited (warned on April 21, 2023), and Tradexfin Limited (warned on August 21, 2020).

Show original Japanese text

インターネットを通じて、店頭デリバティブ取引の勧誘を行っていたもの当該業者が提供するサービスの名称は「Axia、アクシア、Axia Trade、アクシアトレード」である。なお、当該業者との関係性は不明であるが、警告している以下の業者と所在地が同様もしくは酷似している。・「Trinota Markets (Global) Limited」(令和7年1月29日で警告) ・「XS Ltd」(令和6年9月25日で警告) ・「Nymstar Limited」(令和5年4月21日付で警告) ・「Tradexfin Limited」(令和2年8月21日付で警告)

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.

Open original sources and verification detailsOfficial URL, direct PDF, and Kiroku archive

Original Financial Services Agency and Local Finance Bureaus source (Japanese)Open preserved source and evidence pack

Extracted at: 2026-05-14T21:13:26.083+00:00
Evidence checked: 2026-09-27T20:33:29.515+00:00
Archive captured: 2026-05-15T18:30:47.935052+00:00

Show audit JSON

{
  "record": {
    "id": "1f207f69-f87e-4171-8fb6-37bc47a35246",
    "url": "https://regbase.jp/en/enforcement/kinshoho-smarttooltradingsclimited-20260101",
    "company_name_original": "Smarttool Trading SC 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-smarttooltradingsclimited-20260101",
    "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": "2026-05-14T21:13:26.083+00:00",
    "translatedAt": "2026-07-06T04:14:22.664+00:00",
    "evidenceCheckedAt": "2026-09-27T20:33:29.515+00:00",
    "generatedAt": "2026-09-28T12:58:34.238Z"
  },
  "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.