Possible 警告書発出 against SYM株式会社 代表取締役 齊藤史明

SYM株式会社 代表取締役 齊藤史明 (Financial Instruments and Exchange Act)
Financial Instruments and Exchange Act金融庁・財務局Possible entity match1 June 2026
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/api/v1/enforcements?company=SYM%E6%A0%AA%E5%BC%8F%E4%BC%9A%E7%A4%BE%20%E4%BB%A3%E8%A1%A8%E5%8F%96%E7%B7%A0%E5%BD%B9%20%E9%BD%8A%E8%97%A4%E5%8F%B2%E6%98%8E&limit=10

Action summary

Company
Original: SYM株式会社 代表取締役 齊藤史明
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 June 2026
Issuing authority
金融庁・財務局
金融庁・財務局

Violation

Show original Japanese text

グローバルブリッジファンド合同会社(以下「発行体」とする。)が発行する少人数私募債「ミュゼマーケティングファンドシリーズ」と称する有価証券の募集又は私募の取扱いを行っていたもの 当該業者は、自ら又は他者を介して「ミュゼマーケティングファンドシリーズ」と称する有価証券の商品内容、申込手順や期日などの取得申込手続に関する説明を行い、発行体から当該商品の契約成立と連動して支払われる報酬を得ていた。 なお、発行体は、自社以外の者が行う当該商品の勧誘に際し、個別の投資家に対してどのような説明がなされていたのかを網羅的に確認できていない旨を述べている。

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)Archived source snapshot
Extracted at
2026-06-25T15:43:53.28+00:00
Evidence checked
Not recorded
Archive captured
2026-06-25T18:30:36.278+00:00
Show audit JSON
{
  "record": {
    "id": "b8bc4722-0f1a-4df3-aa41-984a1fe87835",
    "url": "https://regbase.jp/en/enforcement/kinshoho-symdai-biao-qu-di-yi-qi-teng-shi-ming-20260601",
    "company_name_original": "SYM株式会社 代表取締役 齊藤史明",
    "company_name_registry": "SYM株式会社 代表取締役 齊藤史明",
    "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-symdai-biao-qu-di-yi-qi-teng-shi-ming-20260601",
    "officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
    "archiveUrl": "https://kiroku.today/view/9fa660712el9kyh0",
    "archiveCapturedAt": "2026-06-25T18:30:36.278+00:00",
    "extractedAt": "2026-06-25T15:43:53.28+00:00",
    "translatedAt": null,
    "evidenceCheckedAt": null,
    "generatedAt": "2026-06-25T19:26:59.707Z"
  },
  "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.

Company info

English name
SYM株式会社 代表取締役 齊藤史明 Japanese original
Japanese name
SYM株式会社 代表取締役 齊藤史明
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.