Enforcement record

Issuance of Warning Letter disclosure naming 株式会社太陽 代表取締役社長 A

株式会社太陽 代表取締役社長 A (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.

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Financial Instruments and Exchange ActFinancial Services Agency and Local Finance BureausGovernment disclosure1 May 2014

Action type

Issuance of Warning Letter

Law

Financial Instruments and Exchange Act

Authority

Financial Services Agency and Local Finance Bureaus

Action date

1 May 2014

Current page: Enforcement record

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Public-source and preservation status

Publishing authority
Financial Services Agency and Local Finance Bureaus
Official source URL
Recorded by RegBase
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Not confirmed; shown under the published name
Kiroku preservation
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Captured: May 16, 2026, 03:30 AM JST

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Action summary

Company
株式会社太陽 代表取締役社長 AJapanese only
Original: 株式会社太陽 代表取締役社長 A
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 May 2014
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

Machine-translated summary — verify against original

A company sent solicitation materials and handled the offering or private placement of unlisted stocks. It was reported that the company sent solicitation materials titled [Stock Purchase Application Form] related to unlisted stocks of other companies. The solicitation materials falsely claimed to have a registration number similar to [Kanto Financial Bureau Director (Finance) No. 2356], and stated that the company provides seminars explaining proper management methods for stocks purchased from the company under the guidance of the Financial Services Agency, which is not true.

Show original Japanese text

勧誘資料等を送付したうえで、未公開株の募集又は私募の取扱いを行っていたもの。 当該業者が、他社の未公開株に関する「株式購入申込書」と題する勧誘資料等を送付しているとの情報が寄せられている。 勧誘資料には、財務局の登録番号に類似した「関東財務局長(金融)第2356号」を騙っており、また、「弊社は、金融庁指導のもと、弊社よりご購入頂いた株式の購入後の適切な運用方法をセミナー形式にてご説明させて頂いております。」と記載されているが、そのような事実はない。

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.

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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.