Enforcement record
Issuance of Warning Letter disclosure naming Uzu Capital Partners株式会社 代表取締役 A
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 June 2017
Current page: Enforcement record
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- Financial Services Agency and Local Finance Bureaus
- Official source URL
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- Captured: May 16, 2026, 03:30 AM JST
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Action summary
- Company
- Uzu Capital Partners株式会社 代表取締役 AJapanese onlyOriginal: Uzu Capital Partners株式会社 代表取締役 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 June 2017
- 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
Sent solicitation materials and conducted fund recruitment or private placement. Information received indicates that at a seminar hosted by the relevant business operator, materials titled [UZU1 Investment New Business Explanation] and [Limited Partnership Agreement [UZU2 Fund No. 1] Investment Case No. 1 Tourism Resort-Related Fund Investment Business] were distributed.
Show original Japanese text
勧誘資料等を送付したうえで、ファンドの募集又は私募を行っていたもの。 当該業者が主催するセミナーにおいて、「UZU1 投資新事業説明」、「匿名組合契約 『UZU2ファンド第1号』 第1号投資案件 観光リゾート関連ファンド投資事業」と題する資料の配付を受けたとの情報が寄せられている。
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.
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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.